AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of TRANSPARENT VALUE TRUST (a Delaware Statutory Trust) Dated as of August 27, 2020Agreement and Declaration of Trust • January 28th, 2021 • Transparent Value Trust
Exhibit (h)(4)(a) TRANSPARENT VALUE TRUST CHIEF COMPLIANCE OFFICER SERVICES AGREEMENTCompliance Officer Services Agreement • January 28th, 2011 • Transparent Value Trust • Delaware
This Chief Compliance Officer Services Agreement (this “Agreement”) is effective as of April 1, 2010 (the “Effective Date”) by and between TRANSPARENT VALUE TRUST, a Delaware statutory trust (the “Trust”), on behalf of each of its series listed in Exhibit A hereto, as such exhibit may be modified from time to time by written agreement of the parties hereto, and ALPS FUND SERVICES, INC. (“ALPS”), a Colorado corporation.
FORM OF AMENDMENT TO TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • January 27th, 2017 • Transparent Value Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of July, 2016, by and between Rydex Fund Services, LLC (“RFS”) and Transparent Value Trust (the “Trust”).
FORM OF (CEFs) GUGGENHEIM FUNDS RULE 12d1-4 (ACQUIRING FUND) FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • January 28th, 2022 • Transparent Value Trust • Delaware
THIS AGREEMENT, dated as of January 19, 2022 by and among each Guggenheim Fund (collectively, the “Guggenheim Funds”) listed on Appendix A hereto, on behalf of itself and all current and future separate series thereof, severally and not jointly (each such series, an “Acquiring Fund,” except as otherwise indicated) and each Acquired Fund Registrant listed on Appendix B hereto (each, an “Acquired Fund”) and together with the Acquiring Fund(s), the “Funds”).
TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • November 29th, 2016 • Transparent Value Trust • Delaware
TRANSFER AGENCY AGREEMENT dated as of May 9, 2016, between Transparent Value Trust (the “Trust”), a Delaware statutory trust having its principal place of business at 330 Madison Avenue, 10th Floor, New York, NY 10017, and Rydex Fund Services, LLC, (“RFS”), a Kansas limited liability company, having its principal place of business at 805 King Farm Blvd., Suite 600, Rockville, Maryland 20850.
FORM OF (OEFs/ETFs) GUGGENHEIM FUNDS RULE 12d1-4 (ACQUIRING FUND) FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • January 28th, 2022 • Transparent Value Trust • Delaware
THIS AGREEMENT, dated as of January 19, 2022, by and among each Guggenheim Fund (collectively, the “Guggenheim Funds”) listed on Appendix A hereto, on behalf of itself and all current and future separate series thereof, severally and not jointly (each such series, an “Acquiring Fund,” except as otherwise indicated) and each Acquired Fund Registrant listed on Appendix B hereto (each, an “Acquired Fund”) and together with the Acquiring Fund(s), the “Funds”).
FUND ACCOUNTING AND ADMINISTRATION AGREEMENTFund Accounting and Administration Agreement • November 29th, 2016 • Transparent Value Trust • New York
AGREEMENT made as of this 9th day of May, 2016, between Transparent Value Trust (the “Trust”), a Delaware statutory trust having its principal place of business at 330 Madison Avenue, 10th Floor, New York, NY 10017, and Rydex Fund Services, LLC (“RFS”), a Kansas limited liability company having its principal place of business at 805 King Farm Boulevard, Rockville, MD 20850.
AGREEMENT AND DECLARATION OF TRUST OF TRANSPARENT VALUE TRUSTAgreement and Declaration of Trust • March 25th, 2010 • Transparent Value 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.
FORM OF AMENDMENT TO FUND ACCOUNTING AND ADMINISTRATION AGREEMENTFund Accounting and Administration Agreement • January 27th, 2017 • Transparent Value Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of July, 2016, by and between Rydex Fund Services, LLC (“RFS”) and Transparent Value Trust (the “Trust”).
AMENDED AND RESTATED BY-LAWS of TRANSPARENT VALUE TRUST (a Delaware Statutory Trust) Dated as of August 27, 2020Transparent Value Trust • January 28th, 2021
GUGGENHEIM FUNDS & GUGGENHEIM FUNDS RULE 12d1-4 FORM OF FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • January 28th, 2022 • Transparent Value Trust • Delaware
THIS AGREEMENT, dated as of January 19, 2022, by and among the Guggenheim Funds (and the separate series thereof, if any) listed in Appendix A – Acquired Funds hereto, severally and not jointly (each Guggenheim Fund and such series, an “Acquired Fund”) and the Guggenheim Funds (and the separate series thereof, if any) listed in Appendix B – Acquiring Funds hereto, severally and not jointly (each Guggenheim Fund and such series, an “Acquiring Fund” and together with the Acquired Fund(s), the “Funds”).
AMENDED AND RESTATED TRANSFER AGENCY AGREEMENTAmended and Restated Transfer Agency Agreement • January 27th, 2023 • Transparent Value Trust • New York
This AMENDED AND RESTATED TRANSFER AGENCY AGREEMENT (the “Agreement”) is made as of this 24th day of October, 2022 by and between MUFG Investor Services (US), LLC (“MUIS”) and each open-end registered investment company listed on Schedule A hereto (as amended from time to time).
Exhibit (e)(3) BROKER DEALER SELLING AGREEMENTBroker Dealer • January 28th, 2013 • Transparent Value Trust • Colorado
THIS BROKER DEALER SELLING AGREEMENT (“Agreement”) made and entered into between ALPS Distributors, Inc. (“ADI”), a Colorado corporation having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203, and , a company having its principal place of business (hereinafter “Broker/Dealer”).
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • May 9th, 2019 • Transparent Value Trust
THIS AGREEMENT, dated as of November, 16, 2018, is made and entered into by and between Guggenheim Partners Investment Management, LLC (the “Adviser”) and Transparent Value Trust (the “Fund”). This Agreement shall apply to each investment portfolio of the Fund as set forth in Schedule A (the “Series”).
GUGGENHEIM FUNDS RULE 12d1-4 (ACQUIRED FUND) FORM OF FUND OF FUNDS INVESTMENT AGREEMENTGuggenheim Funds • January 28th, 2022 • Transparent Value Trust • Delaware
THIS AGREEMENT, dated as of [ ], is made by and among each Guggenheim Fund listed on Appendix A – Acquired Funds hereto (as amended from time to time), on behalf of itself and its separate series (if any), severally and not jointly (each, an “Acquired Fund”) and each Acquiring Fund Registrant listed on Appendix B – Acquiring Funds hereto (as amended from time to time), on behalf of itself and its separate series (if any), severally and not jointly (each, an “Acquiring Fund” and together with the Acquired Fund(s), the “Funds”).
AMENDMENT TO TRANSFER AGENCY AGREEMENTSTransfer Agency Agreements • January 28th, 2021 • Transparent Value Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of August, 2020, by and between MUFG Investor Services (US), LLC (“MUIS”) and Guggenheim Funds Trust (“GFT”), Guggenheim Variable Funds Trust (“GVFT”), Transparent Value Trust (“TVT”) and Guggenheim Strategy Funds Trust (“GSFT”) (each a “Trust” and collectively, the “Trusts”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • March 25th, 2010 • Transparent Value Trust • Delaware
INVESTMENT ADVISORY AGREEMENT (the “Agreement”) made as of this 15th day of March, 2010 by and between TRANSPARENT VALUE 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 GUGGENHEIM INVESTMENT MANAGEMENT, LLC (the “Adviser”), a Delaware corporation with its principal place of business at 135 East 57th Street, 6th Floor, New York, New York 10022.
AMENDED AND RESTATED OPEN-END FUND ACCOUNTING AND ADMINISTRATION AGREEMENTAdministration Agreement • January 27th, 2023 • Transparent Value Trust • New York
This AMENDED AND RESTATED FUND ACCOUNTING AND ADMINISTRATION AGREEMENT (the “Agreement”) is made as of this 24th day of October, 2022 by and between MUFG Investor Services (US), LLC (“MUIS”) and each open-end registered investment company listed on Schedule A hereto (as amended from time to time).
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • May 6th, 2014 • Transparent Value Trust
EXPENSE LIMITATION AGREEMENT, effective as of April 28 , 2014 by and between Guggenheim Partners Investment Management, LLC (the “Adviser”) and Transparent Value Trust (the “Trust”) (the “Agreement”), on behalf of each series of the Trust set forth in Schedule A attached hereto (each a “Fund,” and collectively, the “Funds”).
AMENDMENT TO THE AMENDED AND RESTATED OPEN-END FUND ACCOUNTING AND ADMINISTRATION AGREEMENTAdministration Agreement • January 29th, 2024 • Transparent Value Trust
This Amendment dated December 13, 2023 (the “Amendment”) is made to the Amended and Restated Open-End Fund Accounting and Administration Agreement dated October 24, 2022 (the “Agreement”) between MUFG Investor Services (US), LLC (“MUIS”) and each open-end registered investment company listed on Schedule A to the Agreement.
DISTRIBUTION AGREEMENTDistribution Agreement • April 29th, 2016 • Transparent Value Trust
THIS AGREEMENT, dated as of May 9, 2016, by and between TRANSPARENT VALUE TRUST, a Delaware statutory trust (hereinafter referred to as the “Trust”), and GUGGENHEIM FUNDS DISTRIBUTORS, LLC, a Kansas limited liability company (hereinafter referred to as the “Distributor”).
AMENDMENT TO FUND ACCOUNTING AND ADMINISTRATION AGREEMENTFund Accounting and Administration Agreement • January 28th, 2021 • Transparent Value Trust
This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of August, 2020, by and between MUFG Investor Services (US), LLC (“MUIS”) and Transparent Value Trust (the “Trust”).
Exhibit (e)(1) TRANSPARENT VALUE TRUST DISTRIBUTION AGREEMENTTransparent Value Trust • January 27th, 2012 • Transparent Value Trust • Delaware
THIS AGREEMENT is made as of Nov 1st, 2011, between Transparent Value Trust, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
Exhibit (d)(3)(b) TRANSPARENT VALUE TRUST AMENDMENT TO SUB-ADVISORY AGREEMENTSub-Advisory Agreement • January 28th, 2014 • Transparent Value Trust
THIS AMENDMENT (this “Amendment”) is made as of January 28, 2014 by and between, GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC (“GPIM”) and TRANSPARENT VALUE ADVISORS, LLC (“TVA”).
Exhibit (h)(2)(b) TRANSPARENT VALUE TRUST AMENDMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • January 28th, 2011 • Transparent Value Trust
WHEREAS, in light of the foregoing, ALPS and the Trust wish to modify the provisions of the Agreement to reflect revised Appendix A – List of Portfolios.
Exhibit (e)(2) TRANSPARENT VALUE TRUST AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • June 11th, 2012 • Transparent Value Trust
WHEREAS, in light of the foregoing, ALPS and the Trust wish to modify the provisions of the Agreement to reflect revised APPENDIX A – LIST OF PORTFOLIOS.
Exhibit (h)(1)(b) TRANSPARENT VALUE TRUST AMENDMENT TO ADMINISTRATION, BOOKEEPING AND PRICING SERVICES AGREEMENTServices Agreement • June 11th, 2012 • Transparent Value Trust
WHEREAS, ALPS and the Trust have entered into an Administration, Bookkeeping and Pricing Services Agreement dated April 1, 2010, as amended January 28, 2011 (the “Agreement”);
TRANSPARENT VALUE TRUST AMENDMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • January 28th, 2014 • Transparent Value Trust
WHEREAS, ALPS and the Trust have entered into a Transfer Agency and Services Agreement dated April 1, 2010, as amended January 28, 2011, June 11, 2012 and January 28, 2013 (the “Agreement”);
TRANSPARENT VALUE TRUST TRANSFER AGENCY INTERACTIVE CLIENT SERVICES AGREEMENTTransfer Agency Interactive Client Services Agreement • March 25th, 2010 • Transparent Value Trust • Delaware
This Transfer Agency Interactive Client Services Agreement (this “Agreement”) is made as of __________, 2010, between Transparent Value Trust, a statutory trust established under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
Exhibit (d)(1)(b) TRANSPARENT VALUE TRUST AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • May 19th, 2014 • Transparent Value Trust
THIS AMENDMENT (this “Amendment”) is made as of May 19, 2014 by and between Guggenheim Partners Investment Management, LLC (“GPIM”) and Transparent Value Trust (the “Trust”).
Exhibit (h)(3)(b) TRANSPARENT VALUE TRUST AMENDMENT TO TRANSFER AGENCY AND INTERACTIVE CLIENT SERVICES AGREEMENTServices Agreement • June 11th, 2012 • Transparent Value Trust
WHEREAS, ALPS and the Trust have entered into a Transfer Agency and Interactive Client Services Agreement dated April 1, 2010, as amended January 28, 2011 (the “Agreement”);
Item 77 Q(1)(e) - TVT New or Amended Investment Advisory Contracts Amendment to Investment Advisory Agreement dated May 9, 2016 between Registrant and Guggenheim Partners Investment Management, LLC is incorporated herein by reference to Exhibit...Transparent Value Trust • May 31st, 2016
New or Amended Investment Advisory Contracts Amendment to Investment Advisory Agreement dated May 9, 2016 between Registrant and Guggenheim Partners Investment Management, LLC is incorporated herein by reference to Exhibit (d)(1)(b) to Post-Effective Amendment No. 30 to Registrants Registration Statement filed on May 19, 2016, accession number: 0001628280-16-016508.
Exhibit (e)(1)(b) TRANSPARENT VALUE TRUST AMENDMENT TO DISTRIBUTION AGREEMENTDistribution Agreement • January 28th, 2011 • Transparent Value Trust
WHEREAS, in light of the foregoing, ALPS and the Trust wish to modify the provisions of the Agreement to reflect revised Appendix A – List of Portfolios.
TRANSPARENT VALUE TRUST AMENDMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • May 6th, 2014 • Transparent Value Trust
WHEREAS, ALPS and the Trust have entered into a Transfer Agency and Services Agreement dated April 1, 2010, as amended January 28, 2011, June 11, 2012, January 28, 2013 and January 28, 2014 (the “Agreement”);
Exhibit (h)(1)(b) TRANSPARENT VALUE TRUST AMENDMENT TO ADMINISTRATION, BOOKKEEPING AND PRICING SERVICES AGREEMENTServices Agreement • January 28th, 2011 • Transparent Value Trust
WHEREAS, ALPS and the Trust have entered into an Administration, Bookkeeping and Pricing Services Agreement (the “Agreement”) dated April 1, 2010;
