ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • August 19th, 2020 • Simplify Exchange Traded Funds • Delaware
This Distribution Agreement (the “Agreement”) is made this 30th day of June 2020, by and between Simplify Exchange Traded Funds, a Delaware statutory trust (the “Trust”) having its principal place of business at 154 W. 14th Street, Floor 2, New York NY 10011, and Foreside Financial Services, LLC, a Delaware limited liability company (the “Distributor”) having its principal place of business at Three Canal Plaza, Suite 100, Portland, ME 04101.
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • August 19th, 2020 • Simplify Exchange Traded Funds • New York
THIS AGREEMENT is made as of the 14th day of July, 2020, by and between each Trust (hereinafter each a “Trust”, and collectively the “Trusts” as applicable) listed on Appendix A hereto (as such Appendix be amended from time to time) 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 240 Greenwich Street, New York, New York 10286 (the “Bank”).
CUSTODY AGREEMENT By and Between THE BANK OF NEW YORK MELLON And SIMPLIFY EXCHANGE TRADED FUNDSCustody Agreement • August 19th, 2020 • Simplify Exchange Traded Funds • New York
This Custody Agreement is made and entered into as of the latest date set forth on the signature page hereto (the “Effective Date”) by and between THE BANK OF NEW YORK MELLON, a New York state chartered bank (“BNY Mellon”), and SIMPLIFY EXCHANGE TRADED FUNDS, a DELAWRE STATUTORY TRUST (“Customer”). BNY Mellon and Customer are collectively referred to as the “Parties” and individually as a “Party”.
CUSTODY AGREEMENT by and between SIMPLIFY EXCHANGE TRADED FUNDS and THE BANK OF NEW YORK MELLONCustody Agreement • May 7th, 2021 • Simplify Exchange Traded Funds • New York
CUSTODY AGREEMENT, dated as of the latest date set forth on the signature page hereto, between each fund listed on Schedule I attached hereto (each a “Fund”), each organized as an exempted company under the laws of the Cayman Islands and THE BANK OF NEW YORK MELLON, a bank organized under the laws of the state of New York (the “Custodian”).
AGREEMENT AND DECLARATION OF TRUST OF Simplify exchange traded funds a Delaware Statutory TrustAgreement and Declaration of Trust • August 19th, 2020 • Simplify Exchange Traded Funds • Delaware
AGREEMENT AND DECLARATION OF TRUST made this 9th day of March, 2020 by the Trustee hereunder. This Agreement and Declaration of Trust shall be effective upon the filing of the Certificate of Trust in the office of the Secretary of State of the State of Delaware.
MANAGEMENT AGREEMENTManagement Agreement • August 19th, 2020 • Simplify Exchange Traded Funds • Delaware
The Trust has been organized to engage in the business of an open-end management investment company. The Trust currently offers several series of shares to investors.
FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • August 19th, 2020 • Simplify Exchange Traded Funds • New York
THIS AGREEMENT is made as of July 14, 2020 by and between each Trust listed on the signature page hereto (each a “Fund”, and collectively the “Funds” as applicable) and The Bank of New York Mellon, a New York corporation authorized to do a banking business (“BNY Mellon”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • March 29th, 2022 • Simplify Exchange Traded Funds • New York
THIS SUB-ADVISORY AGREEMENT (the “Agreement”) is made and entered into as of March 28, 2022, by and between Simplify Asset Management Inc. (the “Adviser”), a New York corporation registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”), Simplify Exchange Traded Funds, a Delaware statutory trust (the “Trust”), and Volt Equity LLC (the “Sub-Adviser” and together with the Trust and Adviser the “Parties”), a Delaware limited liability company registered under the Advisers Act, with respect to the Simplify Volt Web3 ETF (the “Fund”), a series of Simplify Exchange Traded Funds, a Delaware statutory trust (the “Trust”).
MANAGEMENT AGREEMENTManagement Agreement • March 17th, 2023 • Simplify Exchange Traded Funds
The Trust has been organized to engage in the business of an open-end management investment company. The Trust currently offers several series of shares to investors.
MANAGEMENT AGREEMENTManagement Agreement • June 12th, 2023 • Simplify Exchange Traded Funds
Simplify Enhanced Income Cayman Fund Limited (the “Company”) herewith confirms its agreement with you. The Company has been organized to engage in the business of a controlled foreign corporation that holds and trades certain securities and instruments for the benefit of Simplify Enhanced Income ETF (the “Fund”), a series of Simplify Exchange Traded Funds (the “Trust”) an open-end management investment company that is organized as a Delaware statutory trust.
MANAGEMENT AGREEMENTManagement Agreement • September 9th, 2021 • Simplify Exchange Traded Funds • Delaware
The Trust has been organized to engage in the business of an open-end management investment company. The Trust currently offers several series of shares to investors.
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 16th, 2024 • Simplify Exchange Traded Funds • New York
THIS SUB-ADVISORY AGREEMENT (the “Agreement”) is made and entered into as of February 15, 2024 by and between Simplify Asset Management Inc. (the “Adviser”), a Delaware corporation registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) with an office at 222 Broadway 22nd Floor, New York, NY 10038; Simplify Exchange Traded Funds, a Delaware statutory trust (the “Trust”); and System 2 Advisors, L.P. (the “Sub-Adviser” and together with the Trust and Adviser the “Parties”), a Delaware partnership registered under the Advisers Act, with an office at 47 Maple Street #303A, Summit, NJ 07901; with respect to each series of the Trust listed on Exhibit A (each a “Fund” and collectively, the “Funds”).
FUND ADMINISTRATION AND ACCOUNTING AGREEMENT (1940 Act Investment Company Subsidiary)Fund Administration and Accounting Agreement • May 7th, 2021 • Simplify Exchange Traded Funds • New York
THIS AGREEMENT is made as of April 20, 2021, by and between each investment fund identified on Exhibit A hereto (each, a “Fund”), and The Bank of New York Mellon, a New York banking organization (“BNY Mellon”).
MANAGEMENT AGREEMENTManagement Agreement • October 23rd, 2023 • Simplify Exchange Traded Funds
The Trust has been organized to engage in the business of an open-end management investment company. The Trust currently offers several series of shares to investors.
SEVENTH AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • March 17th, 2023 • Simplify Exchange Traded Funds • Delaware
This seventh amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) novated as of September 30, 2021 by and between Simplify Exchange Traded Funds (“Trust”) and Foreside Financial Services, LLC (“Foreside”) is entered into with effect as of March 15, 2023 (the “Effective Date”).
Amendment to Exhibit A of the Management Agreement Between Simplify Exchange Traded Funds and Simplify Asset Management Inc.Management Agreement • April 11th, 2024 • Simplify Exchange Traded Funds • Delaware
This amendment (the “Amendment”) to the Management Agreement (the “Agreement”) by and between Simplify Exchange Traded Funds (the “Trust”) and Simplify Asset Management Inc. (“SAMI”) is entered into with effect as of April 15, 2024 (the “Effective Date”).
Fee Waiver AgreementWaiver Agreement • December 20th, 2022 • Simplify Exchange Traded Funds
This Agreement shall become effective on the date written below and shall remain in effect through the Limitation Period, unless sooner terminated as provided below. Additionally, this Agreement may not be terminated by Simplify or Propel but may be terminated by the Trust’s Board of Trustees, on 60 days’ written notice to Simplify and Propel. This Agreement will automatically terminate if the Management Agreement or Sub-Advisory Agreement is terminated.
EXHIBIT AAdministration and Accounting Agreement • November 24th, 2020 • Simplify Exchange Traded Funds
TO THE FUND ADMINISTRATION AND ACCOUNTING AGREEMENT, dated as of July 14, 2020 between SIMPLIFY EXCHANGE TRADED FUNDS (the “Trust”) and The Bank of New York Mellon (“Custodian”). AS REVISED NOVEMBER 23, 2020.
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • March 17th, 2023 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made with effect as of March 15, 2023 (“Effective Date”), by and between Simplify Exchange Traded Funds (the “Trust”) listed on Appendix I to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • October 27th, 2022 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the October 19, 2022 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Exhibit A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • September 16th, 2022 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made with effect as of September 19, 2022 (“Effective Date”), by and between each investment fund (each a “Fund”) listed on Exhibit A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • June 12th, 2023 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the June 7, 2023 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Exhibit A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • September 9th, 2021 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the 23rd day of July, 2021 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Appendix A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • May 21st, 2021 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the 30th day of March, 2021 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Appendix A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO FUND ADMINISTRATION AND ACCOUNTING AGREEMENTFund Administration and Accounting Agreement • October 4th, 2021 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the 23rd day of July, 2021 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Exhibit A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 29th, 2022 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the March 28, 2022 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Appendix A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
CUSTODY AGREEMENTCustody Agreement • September 9th, 2021 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the 23rd day of July, 2021 (“Effective Date”), by and between Simplify Exchange Traded Funds (the “Trust”) listed on Appendix I to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • December 20th, 2022 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made with effect as of December 21, 2022 (“Effective Date”), by and between Simplify Exchange Traded Funds (the “Trust”) listed on Appendix I to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • December 20th, 2022 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made with effect as of December 21, 2022 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Appendix A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
APPENDIX AThe Transfer Agency and Service Agreement • November 24th, 2020 • Simplify Exchange Traded Funds
TO THE TRANSFER AGENCY AND SERVICE AGREEMENT, dated as of July 14, 2020 between SIMPLIFY EXCHANGE TRADED FUNDS (the “Trust”) and The Bank of New York Mellon (“Custodian”). AS REVISED NOVEMBER 23, 2020.
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • June 12th, 2023 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made as of the June 7, 2023 (“Effective Date”), by and between Simplify Exchange Traded Funds (the “Trust”) listed on Appendix I to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
Expense Limitation and Reimbursement AgreementLimitation and Reimbursement Agreement • August 19th, 2020 • Simplify Exchange Traded Funds • Delaware
You have engaged Simplify Asset Management Inc. (“we” or “us”) to act as the investment adviser to the Simplify US Equity PLUS Convexity ETF, Simplify US Equity PLUS Downside Convexity ETF, and Simplify US Equity PLUS Upside Convexity ETF (each a “Fund” and collectively, the “Funds”), pursuant to a Management Agreement between us and Simplify Exchange Traded Funds (the “Trust”) dated on or about August 14, 2020 (“Management Agreement”).
EIGHTH AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • June 12th, 2023 • Simplify Exchange Traded Funds • Delaware
This eighth amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) novated as of September 30, 2021 by and between Simplify Exchange Traded Funds (“Trust”) and Foreside Financial Services, LLC (“Foreside”) is entered into with effect as of May 26, 2023 (the “Effective Date”).
FOURTH AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • September 16th, 2022 • Simplify Exchange Traded Funds • Delaware
This fourth amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) novated as of September 30, 2021 by and between Simplify Exchange Traded Funds (“Trust”) and Foreside Financial Services, LLC (“Foreside”) is entered into with effect as of September 19, 2022 (the “Effective Date”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • March 17th, 2023 • Simplify Exchange Traded Funds
This Amendment (“Amendment”) is made with effect as of March 15, 2023 (“Effective Date”), by and between each Trust (hereinafter each a “Trust” and collectively, the “Trusts” a applicable) listed on Appendix A to the Agreement (as defined below) and THE BANK OF NEW YORK MELLON (“BNY Mellon”).
