ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • July 8th, 2021 • Harbor ETF Trust • Delaware
This Distribution Agreement (the “Agreement”) is made this 4th day of June 2021, by and between Harbor ETF Trust, a Delaware statutory trust (the “Trust”) having its principal place of business at 111 South Wacker Drive, 34th Floor, Chicago, IL 60606, 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.
MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • September 10th, 2021 • Harbor ETF Trust • Massachusetts
This Agreement is made as of September 2, 2021 (this “Agreement”), between each management investment company identified on Appendix A and each management investment company which becomes a party to this Agreement in accordance with the terms hereof (in each case, a “Fund”), including, if applicable, each series of the Fund identified on Appendix A and each series which becomes a party to this Agreement in accordance with the terms hereof, and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company (the “Custodian”).
Investment Advisory Agreement (Harbor Disciplined Bond ETF)Harbor ETF Trust • April 16th, 2024 • Illinois
Harbor ETF Trust (the “Trust”) has been organized under the laws of Delaware to engage in the business of an investment company. The shares of beneficial interest of the Trust (“Shares”) are divided into multiple series, including Harbor Disciplined Bond ETF (the “Fund”), as established pursuant to a written instrument executed by the Trustees of the Trust. Series may be terminated, and additional series established, from time to time by action of the Trustees. The Trust, on behalf of the Fund, has selected you to act as the investment adviser of the Fund and to provide certain other services, as more fully set forth below, and you are willing to act as such investment adviser and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows:
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • September 10th, 2021 • Harbor ETF Trust • Massachusetts
THIS AGREEMENT is made as of the 2nd day of September, 2021, by and between STATE STREET BANK AND TRUST COMPANY, a 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 HARBOR ETF TRUST, a Delaware business trust having its principal office and place of business at 111 South Wacker Drive, 34th Floor, Chicago, Illinois 60606 (the “Trust”).
Non-Discretionary Model Portfolio Provider AgreementHarbor ETF Trust • April 6th, 2023 • Illinois
Harbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, Chicago, Illinois 60606, is the investment adviser to Harbor ETF Trust (the “Trust”) on behalf of Harbor Small Cap Explorer ETF (the “Fund”). The Trust has been organized as a statutory trust under the laws of the State of Delaware to engage in the business of an investment company. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The shares of beneficial interest of the Trust (the “Shares”) are divided into multiple series, including the Fund, as established pursuant to resolutions adopted by the Board of Trustees of the Trust (the “Board” or the “Trustees”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected Connacht Asset Management LP (“you”, “your” or “yourself”) to act as a non-discretionary sub-investment adviser o
FORM OF AUTHORIZED PARTICIPANT AGREEMENT Harbor ETF TrustAuthorized Participant Agreement • September 10th, 2021 • Harbor 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 State Street Bank and Trust Company (the “Transfer Agent”), as transfer agent for Harbor ETF Trust (the “Trust”), a series trust offering a number of portfolios of securities (each a “Fund” and collectively the “Funds”). 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, as it may be amended from time to time, or otherwise filed with the U.S. Securities and Exchange Commission (“SEC”) (together with such Fund’s Statement of Additional Information incorporated therein, the “Prospectus”).
Investment Advisory Agreement Harbor All-Weather Inflation Focus ETFInvestment Advisory Agreement • February 8th, 2022 • Harbor ETF Trust • Illinois
Harbor ETF Trust (the “Trust”) has been organized under the laws of Delaware to engage in the business of an investment company. The shares of beneficial interest of the Trust (“Shares”) are divided into multiple series, including Harbor All-Weather Inflation Focus ETF (the “Fund”), as established pursuant to a written instrument executed by the Trustees of the Trust. Series may be terminated, and additional series established, from time to time by action of the Trustees. The Trust, on behalf of the Fund, has selected you to act as the investment adviser of the Fund and to provide certain other services, as more fully set forth below, and you are willing to act as such investment adviser and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows:
Form of Investment Advisory Agreement For Subadviser (Harbor Disciplined Bond ETF)Harbor ETF Trust • April 16th, 2024 • New York
Harbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, Chicago, Illinois 60606, is the investment adviser to Harbor ETF Trust (the “Trust”) on behalf of Harbor Disciplined Bond ETF (the “Fund”). The Trust has been organized as a statutory trust under the laws of the State of Delaware to engage in the business of an investment company. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The shares of beneficial interest of the Trust (the “Shares”) are divided into multiple series, including the Fund, as established pursuant to resolutions adopted by the Board of Trustees of the Trust (the “Board” or the “Trustees”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected Income Research & Management (“you”, “your” or “yourself”) to act as a sub-investment adviser of the Fund and to pr
Investment Advisory Agreement For Subadviser (Harbor Cayman Energy Transition Ltd)Harbor ETF Trust • June 10th, 2022 • Illinois
Harbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, 34th Floor, Chicago, Illinois 60606, is the investment adviser to Harbor Cayman Energy Transition Ltd (the “Fund”). The Fund has been incorporated under the laws of the Cayman Islands to enable the Harbor Energy Transition ETF (the “Harbor ETF”) to gain exposure to certain types of commodity-linked derivative instruments. The Harbor ETF is a series of Harbor ETF Trust, a U.S. registered investment company, and the Fund is a wholly owned subsidiary of the Harbor ETF. Quantix Commodities LP (“you”, “your” or “yours”) serves as sub-investment adviser to the Harbor ETF. The Adviser has selected you to act as a sub-investment adviser of the Fund and to provide certain other services, as more fully set forth herein (the “Agreement”). You are willing to act as such a sub-investment adviser and to perform such services under the Agreement. Accordingly, the Adviser and th
AGREEMENT AND DECLARATION OF TRUST of HARBOR ETF TRUST a Delaware Statutory Trust Principal Place of Business:Agreement and Declaration • January 28th, 2022 • Harbor ETF Trust • Delaware
This AGREEMENT AND DECLARATION OF TRUST was made on May 14, 2021 and amended and restated on January 26, 2022 by the Trustees, to establish a statutory trust for the purpose of conducting, operating and carrying on the business of a management investment company for the investment and reinvestment of funds contributed to the Trust by investors. The Trustees declare that all money and property contributed to the Trust shall be held and managed in trust pursuant to this Agreement and Declaration of Trust. The name of the Trust created by this Agreement and Declaration of Trust is Harbor ETF Trust.
AGREEMENT AND DECLARATION OF TRUST of HARBOR ETF TRUST a Delaware Statutory Trust Principal Place of Business:Agreement and Declaration of Trust • February 22nd, 2022 • Harbor ETF Trust • Delaware
This AGREEMENT AND DECLARATION OF TRUST was made on May 14, 2021 and amended and restated on January 26, 2022 by the Trustees, to establish a statutory trust for the purpose of conducting, operating and carrying on the business of a management investment company for the investment and reinvestment of funds contributed to the Trust by investors. The Trustees declare that all money and property contributed to the Trust shall be held and managed in trust pursuant to this Agreement and Declaration of Trust. The name of the Trust created by this Agreement and Declaration of Trust is Harbor ETF Trust.
AGREEMENT AND DECLARATION OF TRUST of HARBOR ETF TRUST a Delaware Statutory Trust Principal Place of Business:Agreement and Declaration of Trust • February 29th, 2024 • Harbor ETF Trust • Delaware
This AGREEMENT AND DECLARATION OF TRUST was made on May 14, 2021 and amended and restated on January 26, 2022 by the Trustees, to establish a statutory trust for the purpose of conducting, operating and carrying on the business of a management investment company for the investment and reinvestment of funds contributed to the Trust by investors. The Trustees declare that all money and property contributed to the Trust shall be held and managed in trust pursuant to this Agreement and Declaration of Trust. The name of the Trust created by this Agreement and Declaration of Trust is Harbor ETF Trust.
Non-Discretionary Model Portfolio Provider AgreementHarbor ETF Trust • September 10th, 2021 • Illinois
Harbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, Chicago, Illinois 60606, is the investment adviser to Harbor ETF Trust (the “Trust”) on behalf of each series set forth in Schedule A attached hereto, severally and not jointly (each, a “Fund”). The Trust has been organized as a statutory trust under the laws of the State of Delaware to engage in the business of an investment company. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The shares of beneficial interest of the Trust (the “Shares”) are divided into multiple series, including the Fund(s), as established pursuant to resolutions adopted by the Board of Trustees of the Trust (the “Board” or the “Trustees”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected Tekne Capital Management, LLC (“you”, “your” or “yourself
Non-Discretionary Model Portfolio Provider AgreementHarbor ETF Trust • September 10th, 2021 • Illinois
Harbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, Chicago, Illinois 60606, is the investment adviser to Harbor ETF Trust (the “Trust”) on behalf of each series set forth in Schedule A attached hereto, severally and not jointly (each, a “Fund”). The Trust has been organized as a statutory trust under the laws of the State of Delaware to engage in the business of an investment company. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The shares of beneficial interest of the Trust (the “Shares”) are divided into multiple series, including the Fund(s), as established pursuant to resolutions adopted by the Board of Trustees of the Trust (the “Board” or the “Trustees”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected Sands Capital Management, LLC (“you”, “your” or “yourself
AGREEMENT AND DECLARATION OF TRUST of HARBOR ETF TRUST a Delaware Statutory Trust Principal Place of Business:Agreement and Declaration • January 28th, 2022 • Harbor ETF Trust • Delaware
This AGREEMENT AND DECLARATION OF TRUST was made on May 14, 2021 and amended and restated on January 26, 2022 by the Trustees, to establish a statutory trust for the purpose of conducting, operating and carrying on the business of a management investment company for the investment and reinvestment of funds contributed to the Trust by investors. The Trustees declare that all money and property contributed to the Trust shall be held and managed in trust pursuant to this Agreement and Declaration of Trust. The name of the Trust created by this Agreement and Declaration of Trust is Harbor ETF Trust.
Investment Advisory Agreement Harbor Cayman Energy Transition LtdHarbor ETF Trust • June 10th, 2022 • Illinois
Harbor Cayman Energy Transition Ltd (the “Fund”) has been organized under the laws of the Cayman Islands to enable the Harbor Energy Transition ETF (the “Harbor ETF”) to gain exposure to certain types of commodity-linked derivative instruments. The Harbor ETF is a series of Harbor ETF Trust, a U.S. registered investment company. The Fund is a wholly owned subsidiary of the Harbor ETF. You serve as investment adviser to the Harbor ETF. It is the Fund’s desire to engage you to act as investment adviser to the Fund so that you are able to implement the Harbor ETF’s investment strategy directly and indirectly through the Harbor ETF’s investments in the Fund. Accordingly, the Fund has selected you to act as the investment adviser of the Fund and to provide certain other services, as more fully set forth below, and you are willing to act as such investment adviser and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Fund agrees with you as follo
Investment Advisory Agreement For Subadviser Harbor Scientific Alpha Income ETF Harbor Scientific Alpha High-Yield ETFHarbor ETF Trust • September 10th, 2021 • Illinois
Harbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, Chicago, Illinois 60606, is the investment adviser to Harbor ETF Trust (the “Trust”) on behalf of Harbor Scientific Alpha Income ETF and Harbor Scientific Alpha High-Yield ETF (each, a “Fund” and collectively, the “Funds”). The Trust has been organized as a statutory trust under the laws of the State of Delaware to engage in the business of an investment company. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The shares of beneficial interest of the Trust (the “Shares”) are divided into multiple series, including the Funds, as established pursuant to resolutions adopted by the Board of Trustees of the Trust (the “Board” or the “Trustees”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected BlueCove Limited (“you”, “your
September 7, 2022Harbor ETF Trust • August 17th, 2022 • Illinois
AMENDMENT TO MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • April 14th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Master Custodian Agreement (the “Agreement”) dated as of September 2, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Custodian”) is entered into as of May 23, 2022 (the “Effective Date”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • September 28th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Transfer Agency and Service Agreement (the “Agreement”) dated as of September 7, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Transfer Agent”) is entered into as of October 12, 2022 (the “Effective Date”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • January 31st, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Transfer Agency and Service Agreement (the “Agreement”) dated as of August 26, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Transfer Agent”) is entered into as of December 1, 2021 (the “Effective Date”).
AMENDMENT TO MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • September 28th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Master Custodian Agreement (the “Agreement”) dated as of September 2, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Custodian”) is entered into as of October 12, 2022 (the “Effective Date”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • September 11th, 2023 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Transfer Agency and Service Agreement (the “Agreement”) dated as of September 7, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Transfer Agent”) is entered into as of August 21, 2023 (the “Effective Date”).
AMENDMENT TO MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • June 10th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Master Custodian Agreement (the “Agreement”) dated as of September 2, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Custodian”) is entered into as of July 13, 2022 (the “Effective Date”).
FOURTH AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • August 17th, 2022 • Harbor ETF Trust • Delaware
This fourth amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) dated as of September 30, 2021 by and between Harbor ETF Trust (“Trust”) and Foreside Fund Services, LLC (“Foreside”) is entered into as of September 7, 2022 (the “Effective Date”).
AMENDMENT TO TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • August 17th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Transfer Agency and Service Agreement (the “Agreement”) dated as of September 7, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Transfer Agent”) is entered into as of September 7, 2022 (the “Effective Date”).
AMENDMENT TO TRANFER AGENCY AND SERVICE AGREEMENTTranfer Agency and Service Agreement • April 14th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Transfer Agency and Service Agreement (the “Agreement”) dated as of September 7, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Transfer Agent”) is entered into as of May 23, 2022 (the “Effective Date”).
AMENDMENT TO MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • April 16th, 2024 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Master Custodian Agreement (the “Agreement”) dated as of September 2, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Custodian”) is entered into as of May 1, 2024 (the “Effective Date”).
SECOND AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • April 14th, 2022 • Harbor ETF Trust • Delaware
This second amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) dated as of September 30, 2021 by and between Harbor ETF Trust (“Trust”) and Foreside Fund Services, LLC (“Foreside”) is entered into as of May 23, 2022 (the “Effective Date”).
AMENDMENT TO TRANFER AGENCY AND SERVICE AGREEMENTTranfer Agency and Service Agreement • June 10th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Transfer Agency and Service Agreement (the “Agreement”) dated as of September 7, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Transfer Agent”) is entered into as of July 13, 2022 (the “Effective Date”).
AMENDMENT TO MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • March 27th, 2023 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Master Custodian Agreement (the “Agreement”) dated as of September 2, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Custodian”) is entered into as of April 12, 2023 (the “Effective Date”).
ETF Distribution AgreementEtf Distribution Agreement • September 10th, 2021 • Harbor ETF Trust
THIS ETF DISTRIBUTION AGREEMENT (“Agreement”), effective as of the closing of the Transaction (as defined below) (the “Closing Date”), is by and between Foreside Fund Services, LLC (the “Distributor”) and Harbor ETF Trust (the “Trust”).
AMENDMENT TO MASTER CUSTODIAN AGREEMENTMaster Custodian Agreement • August 17th, 2022 • Harbor ETF Trust • Massachusetts
This amendment (“Amendment”) to the Master Custodian Agreement (the “Agreement”) dated as of September 2, 2021 by and between Harbor ETF Trust (“Trust”) and State Street Bank and Trust Company (“State Street” or the “Custodian”) is entered into as of September 7, 2022 (the “Effective Date”).
ELEVENTH AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • November 3rd, 2023 • Harbor ETF Trust • Delaware
This eleventh amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) dated as of September 30, 2021 by and between Harbor ETF Trust (“Trust”) and Foreside Fund Services, LLC (“Foreside”) is entered into as of October 27, 2023 (the “Effective Date”).
AMENDMENT TO ETF DISTRIBUTION AGREEMENTEtf Distribution Agreement • January 31st, 2022 • Harbor ETF Trust • Delaware
This amendment (“Amendment”) to the ETF Distribution Agreement (the “Agreement”) dated as of September 13, 2021 by and between Harbor ETF Trust (“Trust”) and Foreside Fund Services, LLC (“Foreside”) is entered into as of December 1, 2021 (the “Effective Date”).
