MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • February 12th, 2015 • Lattice Strategies Trust • Massachusetts
This Agreement is made as of December 12, 2014 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • February 12th, 2015 • Lattice Strategies Trust • Massachusetts
THIS AGREEMENT is made as of the 12th day of December, 2014, 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 each of the entities listed on Schedule A attached hereto (each, a “Trust).
LATTICE STRATEGIES TRUST PARTICIPANT AGREEMENTParticipant Agreement • December 23rd, 2014 • Lattice Strategies Trust • Massachusetts
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”), State Street Bank and Trust Company, as transfer agent (the “Transfer Agent”) and [Participant’s Name and NSCC#] (the “Participant”) and is subject to acceptance by Lattice Strategies Trust (the “Trust”). The Trust is an open-end management investment company organized as a Delaware statutory trust consisting of separate investment portfolios (each, a “Fund” and collectively, the “Funds”) as set forth in Attachment A hereto. 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.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 12th, 2015 • Lattice Strategies Trust • New York
This Investment Advisory Agreement (this “Agreement”) is made and entered into on December 30th, 2014, to be effective upon the commencement of operations of the portfolios of the Trust listed on Schedule A attached hereto, by and between- Lattice Strategies Trust, a Delaware statutory trust organized on April 15, 2014 (“Trust”), and Lattice Strategies, LLC, a Delaware limited liability company (“Advisor”).
ADMINISTRATION AGREEMENTAdministration Agreement • February 12th, 2015 • Lattice Strategies Trust • Massachusetts
This Administration Agreement (“Agreement”) dated and effective as of December 12, 2014, is by and between State Street Bank and Trust Company, a Massachusetts trust company (the “Administrator”), and each of the entities listed on Schedule A attached hereto (each, a “Trust”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 13th, 2017 • Lattice Strategies Trust • New York
This Investment Sub-Advisory Agreement (this “Agreement”) is made and entered into on July 29, 2016, by and among Lattice Strategies LLC, a Delaware limited liability company located at 101 Montgomery Street, 27th Floor, San Francisco, California 94104 (“Advisor”), and Mellon Capital Management Corporation, a Delaware corporation, located at 50 Fremont Street, Suite 3900, San Francisco, California 94105 (“Sub-Advisor”)
FORM OF PARTICIPANT AGREEMENTParticipant Agreement • January 26th, 2018 • Lattice Strategies 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”). Lattice Strategies 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).
LATTICE STRATEGIES TRUST PURCHASING FUND AGREEMENTPurchasing Fund Agreement • December 23rd, 2014 • Lattice Strategies Trust
This Purchasing Fund Agreement (the “Agreement”) is made as of the date set forth below between the Lattice Strategies Trust (the “Trust”) and (the “Purchasing Fund”).
SECURITIES LENDING AUTHORIZATION AGREEMENT Between LATTICE STRATEGIES TRUST ON BEHALF OF EACH OF ITS SERIES AS LISTED ON SCHEDULE B And STATE STREET BANK AND TRUST COMPANYSecurities Lending Authorization Agreement • January 28th, 2016 • Lattice Strategies Trust • Massachusetts
This Agreement shall be deemed for all purposes to constitute a separate and discrete agreement between State Street and each of the series of shares of the Trust as listed on Schedule B to this Agreement (the Trust acting on behalf of each such series, a “Fund” and collectively, the “Funds”) as it may be amended by the parties, and no series of shares of the Trust shall be responsible or liable for any of the obligations of any other series of the Trust under this Agreement or otherwise, notwithstanding anything to the contrary contained herein.
SECURITIES LENDING AUTHORIZATION AGREEMENT Between [NAME OF TRUST] ON BEHALF OF EACH OF ITS SERIES AS LISTED ON SCHEDULE B And STATE STREET BANK AND TRUST COMPANYLending Authorization Agreement • December 23rd, 2014 • Lattice Strategies Trust • Massachusetts
This Agreement shall be deemed for all purposes to constitute a separate and discrete agreement between State Street and each of the series of shares of the Trust as listed on Schedule B to this Agreement (the Trust acting on behalf of each such series, a “Fund” and collectively, the “Funds”) as it may be amended by the parties, and no series of shares of the Trust shall be responsible or liable for any of the obligations of any other series of the Trust under this Agreement or otherwise, notwithstanding anything to the contrary contained herein.
DISTRIBUTION AGREEMENTDistribution Agreement • February 12th, 2015 • Lattice Strategies Trust • Colorado
THIS AGREEMENT is made as of January 6, 2015, between Lattice Strategies Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
AMENDMENT TO INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 26th, 2018 • Lattice Strategies Trust
This Amendment ("Amendment") is to the Investment Sub-Advisory Agreement (defined below), is effective as of April 24 2017, by and among Lattice Strategies LLC a Delaware limited liability company located at 101 Montgomery Street, 27th Floor, San Francisco, California 94104 ("Advisor"), and Mellon Capital Management Corporation, a Delaware corporation, located at 50 Fremont Street, Suite 3900, San Francisco, California 94105 ("Sub-Advisor")
FORM OF AMENDMENT NUMBER 6 TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 8th, 2021 • Lattice Strategies Trust
This Amendment Number 6 (the “Amendment”) amends that certain Investment Advisory Agreement dated July 29, 2016 (the “Advisory Agreement”), by and between Lattice Strategies Trust, a Delaware statutory trust (the “Trust”), on behalf of its series listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Lattice Strategies LLC, a Delaware limited liability company (the “Advisor”) and is effective as of March 8, 2021 (the “Effective Date”).
DISTRIBUTION AGREEMENTDistribution Agreement • January 28th, 2019 • Lattice Strategies Trust • Colorado
THIS AGREEMENT (the "Agreement") is made as of April 16, 2018, between Lattice Strategies Trust, a Delaware statutory trust (the "Trust"), and ALPS Distributors, Inc., a Colorado corporation ("ALPS").
EXPENSE REIMBURSEMENT AGREEMENTAgreement • January 28th, 2016 • Lattice Strategies Trust • New York
Agreement (“Agreement”) dated as of January 25, 2016 by and between LATTICE STRATEGIES TRUST (the “Trust”), a Delaware statutory trust and a registered investment company under the Investment Company Act of 1940, as amended (the “1940 Act”) and LATTICE STRATEGIES LLC (“Lattice”).
FORM OF AMENDMENT THREE TO THE FUND ACCOUNTING AGREEMENTFund Accounting Agreement • March 8th, 2021 • Lattice Strategies Trust
This Amendment Three (the “Amendment”) to the Fund Accounting Agreement (defined below), 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, is effective as of March 8, 2021 (the “Effective Date”).
AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 28th, 2019 • Lattice Strategies Trust
This Amendment to the Investment Advisory Agreement (this “Amendment”) is made by and between Lattice Strategies Trust, a Delaware statutory trust organized on April 15, 2014 (the “Trust”), on behalf of its series listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Lattice Strategies LLC, a Delaware limited liability company (the “Advisor”).
AMENDMENT TO INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 28th, 2021 • Lattice Strategies Trust
This Amendment (“Amendment”) is to the Investment Sub-Advisory Agreement (defined below), is effective as of May 29, 2019, by and among Lattice Strategies LLC, a Delaware limited liability company located at 101 Montgomery Street, 27th Floor, San Francisco, California 94104 (“Advisor”), and Mellon Investments Corporation (formerly BNY Mellon Asset Management North America Corporation, a Delaware corporation located at 201 Washington Street, 14th Floor, Boston, Massachusetts 02108 (“Sub-Advisor”). Any term not defined in this Amendment shall have the meaning ascribed to it in the Agreement.
AMENDMENT NUMBER 4 TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 28th, 2020 • Lattice Strategies Trust
This Amendment Number 4 to Investment Advisory Agreement (the “Amendment”) amends that certain Investment Advisory Agreement dated July 29, 2016 (the “Advisory Agreement) by and between Lattice Strategies Trust, a Delaware statutory trust (the “Trust”), on behalf of its series listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Lattice Strategies LLC, a Delaware limited liability company (the “Advisor”) and is effective as of September 11, 2019.
AMENDMENT NUMBER 5 TOInvestment Advisory Agreement • January 28th, 2021 • Lattice Strategies Trust
This Amendment Number 5 to Investment Advisory Agreement (the “Amendment”) amends that certain Investment Advisory Agreement dated July 29, 2016 (the “Advisory Agreement”) by and between Lattice Strategies Trust, a Delaware statutory trust (the “Trust”), on behalf of its series listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Lattice Strategies LLC, a Delaware limited liability company (the “Advisor”) and is effective as of November 6, 2019.
AMENDMENT TO INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 28th, 2019 • Lattice Strategies Trust
This Amendment (“Amendment”) is to the Investment Sub-Advisory Agreement (defined below), is effective as of April 1, 2018, by and among Lattice Strategies LLC, a Delaware limited liability company located at 101 Montgomery Street, 27th Floor, San Francisco, California 94104 (“Advisor”), and BNY Mellon Asset Management North America Corporation (formerly known as Mellon Capital Management Corporation), a Delaware corporation located at 201 Washington Street, 14th Floor, Boston, Massachusetts 02108 (“Sub-Advisor”). Any term not defined in this Amendment shall have the meaning ascribed to it in the Agreement.
FORM OF AMENDMENT TO INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • March 8th, 2021 • Lattice Strategies Trust
This Amendment (“Amendment”) is to the Investment Sub-Advisory Agreement (defined below), is effective as of March 8, 2021, by and among Lattice Strategies LLC, a Delaware limited liability company located at 690 Lee Road, Wayne, Pennsylvania 19087 (“Advisor”), and Mellon Investments Corporation (formerly known as Mellon Capital Management Corporation), a Delaware corporation located at 201 Washington Street, 14th Floor, Boston, Massachusetts 02108 (“Sub-Advisor”). Any term not defined in this Amendment shall have the meaning ascribed to it in the Agreement.
AMENDMENT TO THE DECLARATION OF TRUSTLattice Strategies Trust • January 13th, 2017 • Delaware
This Amendment (this “Amendment”), dated as of July 29, 2016, amends that certain Declaration of Trust of the Lattice Strategies Trust (the “Trust”), made and executed as of September 30, 2014 (the “Trust Agreement”). Capitalized terms used and not defined herein shall have the meanings set forth in the Trust Agreement.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 13th, 2017 • Lattice Strategies Trust • New York
This Investment Advisory Agreement (this “Agreement”) is made and entered into on July 29, 2016, by and between Lattice Strategies Trust, a Delaware statutory trust organized on April 15, 2014 (“Trust”), on behalf of its series listed on Schedule A attached hereto (each a “Fund” and collectively, the Funds”) and Lattice Strategies LLC, a Delaware limited liability company (“Advisor”).
FORM OF INITIAL CAPITAL AGREEMENTInitial Capital Agreement • December 23rd, 2014 • Lattice Strategies Trust
THIS INITIAL CAPITAL AGREEMENT is entered into as of , 2014 by and between Lattice Strategies LLC with its principal office at One Embarcadero Center, 23rd Floor, San Francisco, California 94111 (“Purchaser”) and Lattice Strategies Trust, a Delaware statutory trust, with its principal office at One Embarcadero Center, 23rd Floor, San Francisco, California 94111 (the “Trust”).
AMENDMENT 55 • January 26th, 2024 • Lattice Strategies Trust
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of December 6, 2023 (the “Effective Date”):
AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 26th, 2018 • Lattice Strategies Trust
This Amendment to the Investment Advisory Agreement (this "Amendment") is made and entered into on April 24, 2017 by and between Lattice Strategies Trust, a Delaware statutory trust organized on April 15, 2014 (the "Trust"), on behalf of its series listed on Schedule A attached hereto (each a "Fund" and collectively, the "Funds"), and Lattice Strategies LLC, a Delaware limited liability company (the "Advisor").
AMENDMENT NUMBER 8 TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 26th, 2024 • Lattice Strategies Trust
This Amendment Number 8 (the “Amendment”) amends that certain Investment Advisory Agreement dated July 29, 2016 (the “Advisory Agreement”), by and between Lattice Strategies Trust, a Delaware statutory trust (the “Trust”), on behalf of its series listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Lattice Strategies LLC, a Delaware limited liability company (the “Advisor”) and is effective as of November 27, 2023 (the “Effective Date”).
AMENDMENT TO INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • January 26th, 2024 • Lattice Strategies Trust
This Amendment (“Amendment”) is to the Investment Sub-Advisory Agreement (defined below), effective as of November 27, 2023, by and among Lattice Strategies LLC, a Delaware limited liability company located at 690 Lee Road, Wayne, Pennsylvania 19087 (“Advisor”), and Mellon Investments Corporation (formerly known as Mellon Capital Management Corporation), a Delaware corporation located at 201 Washington Street, 14th Floor, Boston, Massachusetts 02108 (“Sub-Advisor”). Any term not defined in this Amendment shall have the meaning ascribed to it in the Agreement.
FORM OF AMENDMENT 3Lattice Strategies Trust • March 8th, 2021
This amendment (the “Amendment”) between the parties signing below (“Parties”) amends the Existing Agreement as of , 2021 (the “Effective Date”):
AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • January 30th, 2017 • Lattice Strategies Trust
This Amendment to the Investment Advisory Agreement (this “Amendment”) is made and entered into on December 14, 2016, by and between Lattice Strategies Trust, a Delaware statutory trust organized on April 15, 2014 (the “Trust”), on behalf of its series listed on Schedule A attached hereto (each a “Fund” and collectively, the “Funds”), and Lattice Strategies LLC, a Delaware limited liability company (the “Advisor”).
LICENSE AGREEMENTLicense Agreement • March 29th, 2017 • Lattice Strategies Trust • New York
THIS LICENSE AGREEMENT (the “Agreement”), dated as of March 20, 2017 (the “Effective Date”), is by and between Lattice Strategies LLC, a Delaware limited liability company located at 101 Montgomery Street, 27th Floor, San Francisco, California 94104 (“Lattice”), Lattice Strategies Trust, a Delaware statutory trust located at 101 Montgomery Street, 27th Floor, San Francisco, California 94104 (“Trust”), and Mellon Capital Management Corporation, a Delaware corporation located at 50 Fremont Center, 50 Fremont St #3900, San Francisco, CA 94105 (the “Sub-Advisor”). Each of Lattice, the Trust and the Sub-Advisor may be referred to herein as a “Party” and, collectively, the “Parties.”
FORM OF FOURTH AMENDMENT TO THEAgency Agreement • March 8th, 2021 • Lattice Strategies Trust
This Amendment, dated March 17, 2021, 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.
