PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENT PRINCIPAL REAL ESTATE INVESTORS, LLC SUB-ADVISED SERIESSub-Advisory Agreement • June 9th, 2022 • Principal Exchange-Traded Funds • Iowa
SUB-ADVISORY AGREEMENT (the “Agreement”) to be effective as of May 17, 2022 by and between PRINCIPAL GLOBAL INVESTORS, LLC (the “Manager”), and PRINCIPAL REAL ESTATE INVESTORS, LLC (the “Sub-Advisor”).
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • April 21st, 2015 • Principal Exchange-Traded Funds • Massachusetts
THIS AGREEMENT is made as of the ____ day of ___________, 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 Principal Exchange-Traded Funds , a Delaware statutory trust having its principal office and place of business at 711 High Street, Des Moines, Iowa 50392-2080 (the “Trust”).
AGREEMENT AND DECLARATION OF TRUST OF PRINCIPAL EXCHANGE-TRADED FUNDS A Delaware Statutory TrustAgreement and Declaration of Trust • February 6th, 2015 • Principal Exchange-Traded Funds
FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • April 1st, 2020 • Principal Exchange-Traded Funds
This AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective ______________, 2020, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
DISTRIBUTION AGREEMENTDistribution Agreement • October 27th, 2015 • Principal Exchange-Traded Funds • Colorado
THIS AGREEMENT is made as of May 1, 2015, by and between Principal Exchange Traded Funds, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation ("ALPS").
PRINCIPAL EXCHANGE-TRADED FUNDS PARTICIPANT AGREEMENTParticipant Agreement • April 21st, 2015 • Principal Exchange-Traded Funds • Delaware
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”) and [Firm] [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”). Principal Exchange-Traded Funds 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.
FORM OF PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED SUB‑ADVISORY AGREEMENTSub‑advisory Agreement • September 19th, 2016 • Principal Exchange-Traded Funds • Iowa
AGREEMENT executed as of ________, 2016, by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called the “Manager”), and PRINCIPAL GLOBAL INVESTORS, LLC (hereinafter called the “Sub‑Advisor”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENT AGREEMENT executed as of March 21, 2016, by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called the "Manager"), and PRINCIPAL GLOBAL INVESTORS, LLC (hereinafter called the...Sub-Advisory Agreement • August 24th, 2016 • Principal Exchange-Traded Funds • Iowa
FORM OF DISTRIBUTION PLAN AND AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDSDistribution Plan and Agreement • April 1st, 2020 • Principal Exchange-Traded Funds
This DISTRIBUTION PLAN AND AGREEMENT, made as of _________, 20__, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation (the "Distributor").
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED & RESTATED MANAGEMENT AGREEMENTManagement Agreement • September 19th, 2016 • Principal Exchange-Traded Funds
AGREEMENT to be effective August 22, 2016, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (hereinafter called the “Fund”) on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL MANAGEMENT CORPORATION, an Iowa corporation (hereinafter called the “Manager”).
DISTRIBUTION PLAN AND AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDSDistribution Plan and Agreement • October 27th, 2016 • Principal Exchange-Traded Funds
DISTRIBUTION PLAN AND AGREEMENT made as of _________, 20__, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware Trust (the "Fund"), and ALPS Distributors, Inc., a Colorado Corporation (the " Distributor ").
FORM OF DISTRIBUTION PLAN AND AGREEMENT PRINCIPAL EXCHANGE-TRADED FUNDSDistribution Plan and Agreement • July 5th, 2023 • Principal Exchange-Traded Funds
This DISTRIBUTION PLAN AND AGREEMENT (the “Plan”), made effective as of _________, 20__, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the "Fund"), and ALPS DISTRIBUTORS, INC., a Colorado corporation (the "Distributor").
Custodian AgreementCustodian Agreement • April 21st, 2015 • Principal Exchange-Traded Funds • Massachusetts
This Agreement is made as of _________, 2015 by and between Principal Exchange-Traded Funds, a statutory trust organized and existing under the laws of Delaware (the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Custodian”).
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • July 5th, 2023 • Principal Exchange-Traded Funds
This AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective July 12, 2023, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • October 28th, 2020 • Principal Exchange-Traded Funds
This AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective July 1, 2020, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENTPrincipal Exchange-Traded Funds • August 31st, 2017 • Principal Exchange-Traded Funds • Iowa
AGREEMENT executed as of,______ 2017, by and between PRINCIPAL GLOBAL INVESTORS, LLC (hereinafter called the "Manager"), and MORLEY CAPITAL MANAGEMENT, INC. (hereinafter called the "Sub-Advisor").
MANAGEMENT AGREEMENTPrincipal Exchange-Traded Funds • October 27th, 2015 • Principal Exchange-Traded Funds
AGREEMENT to be effective July 8, 2015, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (hereinafter called the “Fund”) and PRINCIPAL MANAGEMENT CORPORATION, an Iowa corporation (hereinafter called the “Manager”).
PRINCIPAL EXCHANGE-TRADED FUNDS CONTRACTUAL FEE WAIVER AGREEMENTPrincipal Exchange-Traded Funds • October 27th, 2022 • Principal Exchange-Traded Funds
AGREEMENT to be effective November 1, 2022 by and between Principal Exchange-Traded Funds (the “Fund”) and Principal Global Investors, LLC (the “Advisor”) (together, the “Parties”).
PRINCIPAL EXCHANGE-TRADED FUNDS AMENDED AND RESTATED MANAGEMENT AGREEMENTManagement Agreement • September 2nd, 2021 • Principal Exchange-Traded Funds
This AMENDED AND RESTATED MANAGEMENT AGREEMENT (the “Agreement”), to be effective September 1, 2021, is by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (the “Fund”), on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL GLOBAL INVESTORS, LLC, a Delaware limited liability company (the “Manager”).
Amendment No. 3 to Distribution AgreementDistribution Agreement • October 27th, 2016 • Principal Exchange-Traded Funds
This Amendment No. 3, dated as of September 21, 2016 (the "Effective Date"), to the Distribution Agreement (this "Amendment"), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 ("ALPS").
AMENDMENT 1313 • April 6th, 2023 • Principal Exchange-Traded Funds
This amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of July 15, 2022 (the "Effective Date"):
Amendment No. 4 to Distribution Agreement4 to Distribution Agreement • May 8th, 2017 • Principal Exchange-Traded Funds
This Amendment No. 4 to the Distribution Agreement (this “Amendment”), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”), is dated as of May 8, 2017 (the “Effective Date”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB‑ADVISORY AGREEMENT PRINCIPAL GLOBAL INVESTORS, LLC SUB-ADVISED SERIESExchange-Traded Funds • April 21st, 2015 • Principal Exchange-Traded Funds • Iowa
AGREEMENT executed as of _________, 2015 by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called “the Manager”), and PRINCIPAL GLOBAL INVESTORS, LLC. (hereinafter called "the Sub‑Advisor").
Amendment No. 2 to Distribution AgreementDistribution Agreement • September 19th, 2016 • Principal Exchange-Traded Funds
This Amendment No. 2, dated as of August 15, 2016 (the "Effective Date"), to the Distribution Agreement (this "Amendment"), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the "Fund"), and ALPS Distributors, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 ("ALPS").
PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENTPrincipal Exchange • May 8th, 2017 • Principal Exchange-Traded Funds
AGREEMENT made this 31st day of March, 2017 by and between Principal Exchange-Traded Funds, Inc. (the “Fund”) and Principal Management Corporation (the “Advisor”) (together, the “Parties”).
AMENDMENT 99 • September 2nd, 2021 • Principal Exchange-Traded Funds
This amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of March 25, 2021 (the "Effective Date"):
PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENTPrincipal Exchange • January 22nd, 2019 • Principal Exchange-Traded Funds
AGREEMENT made this November 1, 2018 by and between Principal Exchange-Traded Funds, Inc. (the “Fund”) and Principal Global Investors, LLC (the “Advisor”) (together, the “Parties”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENTPrincipal Exchange-Traded Funds Sub-Advisory Agreement • October 27th, 2015 • Principal Exchange-Traded Funds • Iowa
AGREEMENT executed as of July 8, 2015 and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called "the Manager"}, and EDGE ASSET MANAGEMENT, INC. (hereinafter called "the Sub-Advisor").
PRINCIPAL EXCHANGE-TRADED FUNDS MANAGEMENT AGREEMENTPrincipal Exchange-Traded Funds • May 5th, 2016 • Principal Exchange-Traded Funds
AGREEMENT to be effective March 21, 2016, by and between PRINCIPAL EXCHANGE-TRADED FUNDS, a Delaware statutory trust (hereinafter called the “Fund”) on behalf of each series identified on Schedule 1 attached hereto, as may be amended from time to time (each, a “Series”), and PRINCIPAL MANAGEMENT CORPORATION, an Iowa corporation (hereinafter called the “Manager”).
FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • February 9th, 2022 • Principal Exchange-Traded Funds • Iowa
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the "Agreement"), dated as of January 19, 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. Principal Global Investors, LLC, the investment adviser to each Acquired Fund, is a party to this Agreement solely for purposes of paragraph 4 of this Agreement.
AMENDMENT 1414 • April 6th, 2023 • Principal Exchange-Traded Funds
This amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of February 24, 2023 (the "Effective Date"):
Amendment No. 7 to Distribution Agreement7 to Distribution Agreement • January 19th, 2018 • Principal Exchange-Traded Funds
This Amendment No. 7 to the Distribution Agreement (this “Amendment”), by and between Principal Exchange-Traded Funds, a Delaware statutory trust (the “Fund”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”), is dated as of October 27, 2017 (the “Effective Date”).
AMENDMENT 1515 • July 5th, 2023 • Principal Exchange-Traded Funds
This amendment (the "Amendment") between the parties signing below ("Parties") amends the Existing Agreement as of June 30, 2023 (the "Effective Date"):
PRINCIPAL EXCHANGE-TRADED FUNDS, INC. CONTRACTUAL FEE WAIVER AGREEMENTPrincipal Exchange • April 13th, 2018 • Principal Exchange-Traded Funds
AGREEMENT made this October 10, 2017 by and between Principal Exchange-Traded Funds, Inc. (the “Fund”) and Principal Global Investors, LLC (the “Advisor”) (together, the “Parties”).
PRINCIPAL EXCHANGE-TRADED FUNDS SUB-ADVISORY AGREEMENTPrincipal Exchange-Traded Funds Sub-Advisory Agreement • October 27th, 2015 • Principal Exchange-Traded Funds • Iowa
AGREEMENT executed as of July 8, 2015 by and between PRINCIPAL MANAGEMENT CORPORATION (hereinafter called "the Manager"), and PRINCIPAL GLOBAL INVESTORS, LLC. (hereinafter called "the Sub-Advisor").
