n-1a Sample Contracts

Putnam ETF TrustAgreement and Declaration of Trust of Putnam ETF Trust a Delaware Statutory Trust Principal Place of Business: Boston, MA 02110 (February 17th, 2021)

THIS AGREEMENT AND DECLARATION OF TRUST (this “Declaration of Trust”) is made as of December 21, 2020 for the purpose of establishing the Trust as a Delaware statutory trust in accordance with the provisions hereinafter set forth.

JOHCM Funds TrustBYLAWS OF JOHCM FUNDS TRUST (Dated as of October 27, 2020) (November 2nd, 2020)
JOHCM Funds TrustJOHCM FUNDS TRUST AGREEMENT AND DECLARATION OF TRUST (November 2nd, 2020)

This AGREEMENT AND DECLARATION OF TRUST made at Boston, Massachusetts, on this 27th day of October, 2020, by the Trustees hereunder and by the holders of shares of beneficial interest to be issued hereunder as hereinafter provided.

Pioneer CoreTrust IAMENDMENT TO AND ASSIGNMENT OF MASTER AGREEMENT (October 26th, 2020)
Pioneer CoreTrust IAPPENDIX A TO CUSTODIAN AGREEMENT BETWEEN BROWN BROTHERS HARRIMAN & CO. AND EACH OF THE MANAGEMENT INVESTMENT COMPANIES LISTED ON APPENDIX “A” THERETO Dated as of November 1, 2020 (October 26th, 2020)

The following is a list of Funds for which the Custodian shall serve under the Custodian Agreement dated as of July 1, 2001 (the “Agreement”):

Pioneer CoreTrust IAPPENDIX A TO ADMINISTRATIVE AGENCY AGREEMENT Dated as of December 27, 2016 The following is a list of Trusts and Funds for which the Administrator shall provide services (as those services are described in Appendix B). This Appendix A may be amended to ... (October 26th, 2020)

The following is a list of Trusts and Funds for which the Administrator shall provide services (as those services are described in Appendix B). This Appendix A may be amended to include or delete Trusts, Funds or services provided an executed copy of such revised Appendix is provided to the Administrator:

Pioneer CoreTrust IPIONEER FUNDS (October 26th, 2020)
Pioneer CoreTrust IAMENDED AND RESTATED ADMINISTRATION AGREEMENT (October 26th, 2020)

This AMENDED AND RESTATED ADMINISTRATION AGREEMENT (“Agreement”) is made as of July 1, 2008, amended and restated as of November 1, 2009, and further amended and restated as of August 1, 2014, November 9, 2015 and February 1, 2017, by and between each Trust listed on Appendix A annexed hereto (each, a “Trust”), each a Delaware statutory trust, and Amundi Pioneer Asset Management, Inc., a Delaware corporation (the “Administrator”).

Pioneer CoreTrust IAGREEMENT AND DECLARATION OF TRUST OF PIONEER CORE TRUST I (a Delaware Statutory Trust) Dated as of August 17, 2020 (October 26th, 2020)

NOW, THEREFORE, all cash, securities and other assets and properties, which the Trust may from time to time acquire in any manner, will be held by the Trust and managed upon the following terms and conditions.

Pioneer CoreTrust ICUSTODIAN AGREEMENT (October 26th, 2020)
Pioneer CoreTrust IPLACEMENT AGENCY AGREEMENT Pioneer Core Trust I (October 26th, 2020)

This PLACEMENT AGENCY AGREEMENT, made this 15th day of September, 2020, by and between Pioneer Core Trust I (“Trust”), a Delaware statutory trust, and Amundi Pioneer Distributor, Inc. (“Placement Agent”).

Pioneer CoreTrust IMANAGEMENT AGREEMENT (October 26th, 2020)

This MANAGEMENT AGREEMENT (“Agreement”) is made as of this 15th day of September, 2020, by and between Pioneer Core Trust I (the “Trust”), a Delaware statutory trust, and Amundi Pioneer Asset Management, Inc., a Delaware corporation (the “Manager”).

James Alpha Funds TrustJAMES ALPHA FUNDS TRUST AGREEMENT AND DECLARATION OF TRUST (October 23rd, 2020)

This AGREEMENT AND DECLARATION OF TRUST of James Alpha Funds Trust is made the 21st day of September, 2020 by the parties signatory hereto, as Trustees.

Uncommon Investment Funds TrustAGREEMENT AND DECLARATION OF TRUST of UNCOMMON INVESTMENT FUNDS TRUST a Delaware Statutory Trust September 30, 2020 (October 15th, 2020)
Gabelli ETFs TrustFORM OF AUTHORIZED PARTICIPANT AGREEMENT GABELLI ETFS TRUST (October 15th, 2020)

This Authorized Participant Agreement (the “Agreement”) is entered into by and between G.distributors, LLC (the “Distributor”) and __________________ (the “Participant”) and is subject to acceptance by The Bank of New York Mellon (the “Transfer Agent”), and is further subject to acknowledgement and agreement by Gabelli ETFs Trust (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”), solely with respect to Sections 4(c) and 13(c) herein.

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Equity Income ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Micro Cap ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Green Energy ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Gabelli ETFs TrustTRANSFER AGENCY AND SERVICE AGREEMENT (October 15th, 2020)

THIS AGREEMENT is made as of the day of , 2020, by and between the GABELLI ETFs TRUST (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 240 Greenwich Street, New York, New York 10286 (the “Bank”).

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Small & Mid Cap ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Growth Innovators ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Love Our Planet & People ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Gabelli ETFs TrustAMENDMENT TO FOREIGN CUSTODY MANAGER AGREEMENT (October 15th, 2020)

This Amendment (“Amendment”) is made as of the day of , 2020, by and between GAMCO INVESTORS, INC. (the “Client”) for and on behalf of each entity listed on Annex I attached to the Agreement (as defined below) (each, a “Fund” and collectively, the “Funds”) and THE BANK OF NEW YORK MELLON (“BNYM”).

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Financial Services ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Gabelli ETFs TrustDISTRIBUTION AGREEMENT FOR THE GABELLI ETFS TRUST (October 15th, 2020)

Distribution Agreement (the “Agreement”), dated [ ], 2020 between the Gabelli ETFs Trust, a Delaware statutory trust (the “Trust”), and G.distributors, LLC, a Delaware limited liability company (the “Distributor”).

Gabelli ETFs TrustACTIVESHARES® ETFs AP REPRESENTATIVE CONFIDENTIALITY & UNDERTAKINGS AGREEMENT (October 15th, 2020)

This AP Representative Confidentiality Agreement (this “Agreement”) is entered into by and among (“AP Representative”) and the Gabelli ETFs Trust (the “Trust”), an open-end management investment company registered with the Securities and Exchange Commission (the “SEC”) under the Investment Company Act of 1940, as amended (the “1940 Act”), on behalf of each of its separate series (each, a “Fund” and collectively, the “Funds”). Capitalized terms used herein and not otherwise defined have the meaning assigned to them in Section 6 of this Agreement.

Gabelli ETFs TrustAMENDMENT TO SUB-ADMINISTRATION AND ACCOUNTING AGREEMENT (October 15th, 2020)

This Amendment (the “Amendment”) is made as of , 2020 by and between GABELLI FUNDS LLC (the “Administrator”) with respect to each investment company referenced on Exhibit A hereto (each, a “Fund”, collectively, the “Funds”) and THE BANK OF NEW YORK MELLON (as assigned from BNY Mellon Investment Servicing (US) Inc.) (“BNY Mellon”).

Gabelli ETFs TrustINVESTMENT ADVISORY AGREEMENT (October 15th, 2020)

INVESTMENT ADVISORY AGREEMENT, dated , 2020, between The Gabelli ETFs Trust, a Delaware statutory trust, on behalf of Gabelli Global Small Cap ETF (the “Trust” and the “Fund”, respectively), and Gabelli Funds, LLC (the “Adviser”), a New York limited liability company.

Alger ETF TrustTHE ALGER ETF TRUST AGREEMENT AND DECLARATION OF TRUST Dated: March 24, 2020 (August 18th, 2020)

This AGREEMENT AND DECLARATION OF TRUST, made as of the 24th day of March, 2020 by the Initial Trustee hereunder and by the holders of shares of beneficial interest to be issued hereunder as hereinafter provided.

SFS Series TrustBY-LAWS SFS Series Trust (a Delaware Statutory Trust) (August 4th, 2020)

These By-Laws are made and adopted pursuant to the Agreement and Declaration of Trust (the “Declaration of Trust”) of SFS Series Trust (the “Trust”). Unless otherwise defined herein, capitalized terms used herein have the respective meanings given them in the Declaration of Trust

SFS Series TrustAGREEMENT AND DECLARATION OF TRUST of SFS Series Trust (a Delaware Statutory Trust) (August 4th, 2020)
SFS Series TrustINVESTMENT ADVISORY AGREEMENT (August 4th, 2020)

THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”) is made by and between SFS Series 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 Hercules Investments, LLC (the “Adviser”), a California limited liability company with its principal place of business in in Los Angeles, California. This Agreement is made effective as to each Fund (defined below) as of the date set forth on the set of schedules to this Agreement identified as “Schedule A” and then numerically designated (e.g., Schedule A-1) attached hereto as of the “Effective Date” noted on each Schedule A with respect to each of the Funds.

VELA FundsBY-LAWS OF VELA FUNDS (July 2nd, 2020)

These BYLAWS, made as of May 25, 2020 shall be subject to the Agreement and Declaration of Trust dated as of May 25, 2020 as from time to time in effect (the “Declaration of Trust”), of VELA Funds, a Delaware statutory trust (the “Trust”). In the event of any inconsistency between the terms hereof and the terms of the Declaration of Trust, the terms of the Declaration of Trust shall control. Capitalized terms are used as defined in the Declaration of Trust, except as specifically defined herein.

VELA FundsAGREEMENT AND DECLARATION OF TRUST OF VELA FUNDS a Delaware Statutory Trust (July 2nd, 2020)

AGREEMENT AND DECLARATION OF TRUST made this 25th day of May, 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.

Dimensional ETF TrustAGREEMENT AND DECLARATION OF TRUST of DIMENSIONAL ETF TRUST a Delaware Statutory Trust (June 26th, 2020)

WHEREAS this Trust is being formed to carry on the business of an open-end management investment company as defined in the 1940 Act; and