EX-99.(H)(10) 7 simplifyexchange_exh10.htm EXHIBIT (H)(10)

 

Exhibit (h)(10)

 

AMENDMENT
TO

TRANSFER AGENCY AND SERVICE AGREEMENT

 

This Amendment (“Amendment”) is made with effect as of October 23, 2023 (“Effective Date”), by and between SIMPLIFY EXCHANGE TRADED FUNDS (the “Trust”), on behalf of each of its series listed on Appendix A to the Agreement (as defined below), and THE BANK OF NEW YORK MELLON (“BNY Mellon”).

 

BACKGROUND:

 

A. BNY Mellon and the Trust entered into a Transfer Agency and Service Agreement dated as of July 14, 2020, as amended to date, (the “Agreement”) relating to BNY Mellon’s provision of services to the Trust and its series .

 

B.The parties desire to amend the Agreement as set forth herein.

 

TERMS:

 

The parties hereby agree that:

 

1. Appendix A to the Agreement is hereby deleted in its entirety and replaced with Appendix A attached hereto.

 

2. Miscellaneous.

 

(a) As hereby amended and supplemented, the Agreement shall remain in full force and effect.

 

(b) The Agreement, as amended hereby, constitutes the complete understanding and agreement of the parties with respect to the subject matter thereof and supersedes all prior communications with respect thereto.

 

3. Signatures; Counterparts. The parties expressly agree that this Amendment may be executed in one or more counterparts and expressly agree that such execution may occur by manual signature on a physically delivered copy of this Amendment, by a manual signature on a copy of this Amendment transmitted by facsimile transmission, by a manual signature on a copy of this Amendment transmitted as an imaged document attached to an email, or by “Electronic Signature”, which is hereby defined to mean inserting an image, representation or symbol of a signature into an electronic copy of this Amendment by electronic, digital or other technological methods. Each counterpart executed in accordance with the foregoing shall be deemed an original, with all such counterparts together constituting one and the same instrument. The exchange of executed counterparts of this Amendment or of executed signature pages to counterparts of this Amendment, in either case by facsimile transmission or as an imaged document attached to an email transmission, shall constitute effective execution and delivery of this Amendment and may be used for all purposes in lieu of a manually executed and physically delivered copy of this Amendment.

 

 

 

 

IN WITNESS WHEREOF, each of the parties hereto has caused this Amendment to be executed as of the Effective Date by its duly authorized representative indicated below. An authorized representative, if executing this Amendment by Electronic Signature, affirms authorization to execute this Amendment by Electronic Signature and that the Electronic Signature represents an intent to enter into this Amendment and an agreement with its terms.

 

  SIMPLIFY EXCHANGE TRADED FUNDS, ON BEHALF OF EACH SERIES LISTED ON APPENDIX A
   
  By:
  Name: Paul Kim
  Title: President
     
  THE BANK OF NEW YORK MELLON
   
  By:
  Name: Michael Spates
  Title: Vice President

 

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APPENDIX A
(Amended and Restated with effect as of October 23, 2023)

 

Series

 

1 Simplify US Equity Plus Complexity ETF
2 Simplify US Equity Plus Downside Convexity ETF
3 Simplify US Equity Plus Upside Convexity ETF
4 Simplify Volt Robocar and Tech Disruption ETF
5 Simplify Volt Cloud and Cybersecurity Disruption ETF
6 Simplify Nasdaq 100 PLUS Downside Convexity ETF
7 Simplify Nasdaq 100 PLUS Convexity ETF
8 Simplify Volatility Premium ETF
9 Simplify Interest Rate Hedge ETF
10 Simplify Commodity Strategy ETF
11 Simplify Gold Strategy ETF
12 Simplify US Equity Plus GBTC ETF
13 Simplify High Yield PLUS Credit Hedge ETF
14 Simplify Tail Risk Strategy ETF
15 Simplify Intermediate Term Treasury Futures Strategy ETF
16 Simplify Health Care ETF
17 Simplify Hedged Equity ETF
18 Simplify Developed Ex-US PLUS Downside Convexity ETF
19 Simplify US Small Cap PLUS Downside Convexity ETF
20 Simplify Emerging Markets Equity PLUS Downside Convexity ETF
21 Simplify Aggregate Bond PLUS Credit Hedge ETF
22 Simplify Managed Futures Strategy ETF
23 Simplify Macro Strategy ETF
24 Simplify Volt Web3 ETF
25 Simplify Bitcoin Strategy PLUS Income ETF
26 Simplify Short Term Treasury Futures Strategy ETF
27 Simplify Enhanced Income ETF
28 Simplify Stable Income ETF
29 Simplify Propel Opportunities ETF
30 Simplify Conservative Allocation ETF
31 Simplify Moderate Allocation ETF
32 Simplify Growth Allocation ETF
33 Simplify Income Allocation ETF
34 Simplify Commodities Strategy No K-1 ETF
35 Simplify Market Neutral Equity Long/Short ETF
36 Simplify Multi-QIS Alternative ETF
37 Simplify Opportunistic Income ETF
38 Simplify MBS ETF
39 Simplify US Equity PLUS QIS ETF

 

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