IVY NEXTSHARES TRUST PARTICIPANT AGREEMENTParticipant Agreement • October 12th, 2016 • Ivy NextShares • Colorado
This Participant Agreement (the “Agreement”) is entered into by and among ALPS Distributors, Inc. (the “Distributor”) and [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”). Ivy NextShares Trust (the “Trust”) is organized as a Delaware statutory trust and consists of separate series (each, a “Fund” and collectively, the “Funds”) as set forth in Attachment A hereto. Each Fund is an open-end management investment company and a series of the Trust. 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 and Creation Units (as defined below).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • October 12th, 2016 • Ivy NextShares
THIS AGREEMENT, made as of September 1, 2016, is entered into by and between IVY NEXTSHARES (hereinafter called the “Trust”), and IVY INVESTMENT MANAGEMENT COMPANY (hereinafter called “IICO”), with respect to each series of the Trust listed in Appendix A (each, a “Fund” and collectively, the “Funds”).
