AMENDED AND RESTATED ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • December 14th, 2023 • Tidal ETF Trust • Delaware
This Amended and Restated ETF Distribution Agreement (the “Agreement”) is entered into as of November 29, 2023, by and between Tidal ETF Trust, a Delaware statutory trust (the “Trust”), having its principal place of business at 234 West Florida Street, Suite 203 Milwaukee, Wisconsin 53204, and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”), having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 9th, 2023 • Tidal ETF Trust • New York
This Sub-Advisory Agreement (the “Agreement”) is made as of this 4th day of October, 2023 by and between Toroso Investments, LLC, a Delaware limited liability company, with its principal place of business at 234 West Florida Street, Suite 203, Milwaukee, Wisconsin 53204 (the “Adviser”) and ZEGA Financial, LLC, a Nebraska limited liability company, with its principal place of business at 3801 PGA Boulevard, Suite 600, Palm Beach Gardens, Florida 33410 (the “Sub-Adviser”), with respect to each series of Tidal ETF Trust (the “Trust”) identified on Schedule A to this Agreement, as may be amended from time to time (each, a “Fund” and, if more than one Fund, together, the “Funds”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • July 27th, 2023 • Tidal ETF Trust • New York
This Investment Advisory Agreement (the “Agreement”) is made as of July 10, 2023, by and between Tidal ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of each series of the Trust listed on Schedule A attached hereto, as may be amended from time to time (each, a “Fund” and collectively, the “Funds”), and Toroso Investments, LLC, a Delaware limited liability company (the “Adviser”).
BLACKROCK RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • March 29th, 2023 • Tidal ETF Trust • Delaware
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of 10/6/2022 (the “Effective Date”), is made by and between each registered open-end investment company (each, a “Registrant”), on behalf of each portfolio series of each such Registrant listed on Schedule A or Schedule B hereto, or if the relevant Registrant has no portfolio series, then the relevant Registrant (as applicable, each an “Acquiring Fund” or “Acquired Fund” pursuant to the applicable schedule), each severally and not jointly.
TIDAL ETF TRUST FORM OF AUTHORIZED PARTICIPANT AGREEMENTAuthorized Participant Agreement • December 21st, 2018 • Tidal ETF Trust • New York
This Authorized Participant Agreement (the “Agreement”) is entered into by and between Foreside Fund Services, LLC (the “Distributor”) and __________ (the “Participant”) and is subject to acceptance by U.S. Bancorp Fund Services, LLC d/b/a U.S. Bank Global Fund Services (the “Index Receipt Agent”). This Agreement is further subject to acknowledgement and agreement by Tidal ETF Trust (the “Trust”), a series trust offering a number of portfolios of securities for which the Distributor is the distributor of such series (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 12(c) herein. Capitalized terms used but not defined herein are defined in the current prospectus for each Fund as it may be supplemented or amended from time to time, and included in the Trust’s Registration Statement on Form N-1A (Securities Act of 1933 Registration No. 333-227298; Investment Company Act of 1940 Registration No. 811-23377), as it may be amended from time to time, or oth
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • April 5th, 2019 • Tidal ETF Trust • Delaware
THIS FUND ADMINISTRATION SERVICING AGREEMENT (the “Agreement”) is made and entered into as of December 21, 2018 by and between Tidal ETF Trust, a Delaware statutory trust (the “Trust”) and Tidal ETF Services LLC, a Delaware limited liability company (“Tidal”).
PRIVATE INVESTMENT COMPANY CUSTODIAN AGREEMENTCustodian Agreement • June 10th, 2022 • Tidal ETF Trust • Minnesota
THIS AGREEMENT is made and entered into as of the date last written in the signature page, by and between IONIC CAYMAN SUBSIDIARY, an exempted company incorporated in the Cayman Islands with limited liability (the “Fund”) and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
INVESTMENT ADVISORY AGREEMENT Between IONIC CAYMAN SUBSIDIARY and TOROSO INVESTMENTS, LLCInvestment Advisory Agreement • June 10th, 2022 • Tidal ETF Trust • New York
This Investment Advisory Agreement (the “Agreement”) is made as of May 26, 2022, by and between Ionic Cayman Subsidiary, an Exempted Company incorporated in the Cayman Islands with limited liability (the “Fund”), and Toroso Investments, LLC, a Delaware limited liability company (the “Adviser”) located at 898 N Broadway, Massapequa NY 11758 USA.
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • April 5th, 2019 • Tidal ETF Trust • New York
THIS AGREEMENT is made and entered into as of December 21, 2018 by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”). TOROSO INVESTMENTS, LLC, the investment adviser to the Trust (the “Adviser”), is a party hereto with respect to Section 7 only.
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • December 21st, 2018 • Tidal ETF Trust • New York
THIS AGREEMENT is made and entered into as of ___________, 2018 by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”). Toroso Investments, LLC, a Delaware limited liability company, the investment adviser to the Trust (the “Adviser”), is a party hereto with respect to Article 5 only.
FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS AGREEMENT is dated as of January 19, 2022 , among Tidal ETF Trust (the “Acquiring Trust”), each on behalf of itself and its separate series listed on Schedule A, as amended from time to time, severally and not jointly (each an “Acquiring Fund” and collectively, the “Acquiring Funds”), and PIMCO ETF Trust and PIMCO Equity Series, (each an “Acquired Trust” and collectively, the “Acquired Trusts”), each on behalf of its itself and its separate series listed on Schedule B, as amended from time to time or as such additional series are deemed to be added in the future, severally and not jointly (each, an “Acquired Fund” and collectively, the “Acquired Funds”).
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of September 30, 2022 (the “Effective Date”), is made among Tidal ETF Trust, on behalf of each of its series listed in Schedule A (each, an “Acquiring Fund”) and the Invesco Exchange-Traded Fund Trust, Invesco Exchange-Traded Fund Trust II, Invesco India Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Trust, Invesco Actively Managed Exchange-Traded Commodity Fund Trust and Invesco Exchange-Traded Self-Indexed Fund Trust, on behalf of each of their series (except such series listed on Schedule B, as may be amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • December 21st, 2022 • Tidal ETF Trust • New York
This Sub-Advisory Agreement (the “Agreement”) is made as of this 26th day of May, 2022 by and between Toroso Investments, LLC, a Delaware limited liability company, with its principal place of business at 898 N. Broadway, Suite 2, Massapequa, NY 11758 (the “Adviser”) and Ionic Capital Management LLC, a Delaware limited liability company, with its principal place of business at 475 Fifth Avenue, 9th Floor, New York, New York 10017 (the “Sub-Adviser”), with respect to the Ionic Cayman Subsidiary (the “Fund”), a subsidiary of the Ionic Inflation Protection ETF (the “U.S. Fund”), a series of Tidal ETF Trust (the “Trust”), a Delaware statutory trust, registered with the U.S. Securities and Exchange Commission (the “SEC”).
FUND SUB-ADMINISTRATION SERVICING AGREEMENTFund Sub-Administration Servicing Agreement • April 5th, 2019 • Tidal ETF Trust • New York
THIS AGREEMENT is made and entered into as of December 21, 2018 by and between TIDAL ETF SERVICES LLC (the “Company” or “Tidal”), with respect to Tidal ETF Trust, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”). TOROSO INVESTMENTS, LLC, the investment adviser to the Trust (the “Adviser”), is a party hereto with respect to Section 4 only.
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS AGREEMENT, dated as of, October 5, 2022 between each Acquiring Fund(s) identified on Schedule A, severally and not jointly (each, an “Acquiring Fund”), and each series of VanEck ETF Trust (except such series listed on Schedule B which may be amended from time to time), severally and not jointly (each, an “Acquired Fund” and together with the Acquiring Fund[s], the “Funds”).
Tidal ETF Trust Fee Waiver AgreementWaiver Agreement • April 28th, 2023 • Tidal ETF Trust • Delaware
THIS FEE WAIVER AGREEMENT (the “Agreement”) is entered into on April 5, 2023, by and between Tidal ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of the RPAR Risk Parity ETF (the “Fund”), a series of the Trust, and Toroso Investments, LLC (the “Adviser”), the Fund’s investment adviser.
CUSTODY AGREEMENTCustody Agreement • April 5th, 2019 • Tidal ETF Trust • New York
THIS AGREEMENT is made and entered into as of December 21, 2018 by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”). Toroso Investments, LLC, a Delaware limited liability company, the investment adviser to the Trust (the “Adviser”), is a party hereto with respect to Section 7.01 only.
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 21st, 2022 • Tidal ETF Trust
THIS AGREEMENT, dated as of September 30, 2022, among each Acquiring Fund, severally and not jointly, identified on Schedule A (each, an “Acquiring Fund”), and the Acquired Funds, severally and not jointly, listed on Schedule B (each, an “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
TO THE CUSTODY AGREEMENTCustody Agreement • June 3rd, 2022 • Tidal ETF Trust
THIS SIXTEENTH AMENDMENT effective as of the last date on the signature block, to the Custody Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
CUSTODY AGREEMENTCustody Agreement • December 21st, 2018 • Tidal ETF Trust • New York
THIS AGREEMENT is made and entered into as of ______________, 2018 by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”). Toroso Investments, LLC, a Delaware limited liability company, the investment adviser to the Trust (the “Adviser”), is a party hereto with respect to Article 7.01 only.
FIRST AMENDMENT TO THE INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • September 8th, 2022 • Tidal ETF Trust
THIS FIRST AMENDMENT dated as of August 5, 2022, to the Investment Advisory Agreement dated as of March 10, 2022 (the “Agreement”), is entered into by and between TIDAL ETF TRUST (the “Trust”), on behalf of the series of the Trust as indicated on Schedule A to the Agreement, as may be amended from time to time (each, a “Fund,” and collectively, the “Funds”), and TOROSO INVESTMENTS, LLC (hereinafter called the “Adviser”).
TO THE FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • February 11th, 2022 • Tidal ETF Trust
THIS THIRTEENTH AMENDMENT effective as of the last date on the signature block, to the Fund Accounting Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin
SEVENTH AMENDMENT TO THE CUSTODY AGREEMENTCustody Agreement • December 23rd, 2020 • Tidal ETF Trust
THIS SEVENTH AMENDMENT effective as of the last date on the signature block, to the Custody Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
FIFTH AMENDMENT TO THE TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • September 30th, 2020 • Tidal ETF Trust
THIS FIFTH AMENDMENT effective as of the last date on the signature block, to the Transfer Agent Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
DISTRIBUTION SERVICES AGREEMENTDistribution Services Agreement • December 21st, 2018 • Tidal ETF Trust • Delaware
THIS AGREEMENT made this ___ day of _________, 2018, by and between Toroso Investments, LLC (the “Adviser”), a Delaware limited liability company and Foreside Fund Services, LLC, a Delaware limited liability company (the “Distributor”).
FIRST AMENDMENT TOEtf Distribution Agreement • April 5th, 2019 • Tidal ETF Trust • Delaware
This First Amendment (this “Amendment”) is entered into on February 20, 2019, (the “Execution Date”) with an effective date of February 20, 2019 (the “Effective Date”), to the ETF Distribution Agreement dated as of January 3, 2019 (the “Agreement”), by and between Tidal ETF Trust (the “Trust”) and Foreside Fund Services, LLC (“Foreside”).
TWENTIETH AMENDMENT TO THE FUND SUB-ADMINISTRATION SERVICING AGREEMENTServicing Agreement • December 27th, 2022 • Tidal ETF Trust
THIS TWENTIETH AMENDMENT effective as of the last date in the signature block, to the Fund Sub-Administration Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF SERVICES LLC (the “Company” or “Tidal”), with respect to Tidal ETF Trust, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
SIXTEENTH AMENDMENT TO THE TRANSFER AGENT SERVICING AGREEMENTAgent Servicing Agreement • June 3rd, 2022 • Tidal ETF Trust
THIS SIXTEENTH AMENDMENT effective as of the last date on the signature block, to the Transfer Agent Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
TO THE CUSTODY AGREEMENTCustody Agreement • May 2nd, 2022 • Tidal ETF Trust
THIS FOURTEENTH AMENDMENT effective as of the last date on the signature block, to the Custody Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America with its principal place of business at Minneapolis, Minnesota (the “Custodian”).
TO THE FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • May 2nd, 2022 • Tidal ETF Trust
THIS ELEVENTH AMENDMENT effective as of March 10, 2022, to the Fund Administration Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between Tidal ETF Trust, a Delaware statutory trust (the “Trust”) and Tidal ETF Services LLC, a Delaware limited liability company (“Tidal”).
FOURTEENTH AMENDMENT TO THE FUND ADMINISTRATION SERVICING AGREEMENTAdministration Servicing Agreement • June 3rd, 2022 • Tidal ETF Trust
THIS FOURTEENTH AMENDMENT effective as of May 26, 2022, to the Fund Administration Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between Tidal ETF Trust, a Delaware statutory trust (the “Trust”) and Tidal ETF Services LLC, a Delaware limited liability company (“Tidal”).
FIRST AMENDMENT TO THE TIDAL ETF TRUST INVESTMENT ADVISORY AGREEMENT with TOROSO INVESTMENTS, LLCFirst • June 2nd, 2023 • Tidal ETF Trust
THIS FIRST AMENDMENT dated as of April 27, 2023, to the Investment Advisory Agreement dated as of January 25, 2022 (the “Agreement”), entered into by and between TIDAL ETF TRUST (the “Trust”), on behalf of the series of the Trust as indicated on Schedule A to the Agreement, as may be amended from time to time (each, a “Fund,” and collectively, the “Funds”), and TOROSO INVESTMENTS, LLC (the “Adviser”).
Tidal ETF Trust Fee Waiver AgreementWaiver Agreement • August 26th, 2022 • Tidal ETF Trust • Delaware
THIS FEE WAIVER AGREEMENT (the “Agreement”) is entered into on December 20, 2021, by and between Tidal ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of the Robinson Alternative Yield Pre-Merger SPAC ETF (the “Fund”), a series of the Trust, and Toroso Investments, LLC (the “Adviser”), the Fund’s investment adviser.
TO THE FUND SUB-ADMINISTRATION SERVICING AGREEMENTSub-Administration Servicing Agreement • August 17th, 2020 • Tidal ETF Trust
THIS THIRD AMENDMENT effective as of July 1, 2020, to the Fund Sub-Administration Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF TRUST, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
SEVENTH AMENDMENT TO THE FUND SUB-ADMINISTRATION SERVICING AGREEMENTAdministration Servicing Agreement • December 23rd, 2020 • Tidal ETF Trust
THIS SEVENTH AMENDMENT effective as of the last date on the signature block, to the Fund Sub-Administration Servicing Agreement (the “Agreement”) dated as of December 21, 2018, as amended, is entered into by and between TIDAL ETF SERVICES LLC (the “Company” or “Tidal”), with respect to Tidal ETF Trust, a Delaware statutory trust (the “Trust”), and U.S. BANCORP FUND SERVICES, LLC d/b/a U.S. BANK GLOBAL FUND SERVICES, a Wisconsin limited liability company (“Fund Services”).
