SHORT SETTLEMENT TRANSACTIONS. With respect to short settlement transactions, as may be permitted for certain Funds from time to time, the applicable Trust may assess a cash collateral buffer as a percentage of the total order value. The cash collateral buffer would be added to the Cash Component of the basket. On the business day following the trade date of a short settlement transaction, the applicable Trust will calculate the true-up amount and either instruct a return wire to the Authorized Participant with all or a portion of the cash collateral or require additional funds from the Authorized Participant. Each Trust requires the true-up amount from the Authorized Participant to be paid same day. FOR abrdn ETFs and abrdn Funds ___________________________ (“Authorized Participant”) hereby represents that as of the date set forth below, Authorized Participant [Please check only one]: ____ is registered in the appropriate category with the Commodity Futures Trading Commission (“CFTC”) and/or the National Futures Association (“NFA”). CFTC Number:_____________ NFA Number:____________ ____ is exempted from registration pursuant to the Commodity Exchange Act of 1936, as amended (“CEA”), or the rules and regulations promulgated by the CFTC or NFA thereunder, excluded from applicable defined terms under the CEA or the rules and regulations promulgated by the CFTC or NFA thereunder, or has otherwise obtained no-action or exemptive relief from the CFTC or NFA [please specify the exemption reason]: Signature: _____________________________________ Name: _____________________________________ Title: _____________________________________ Date: _____________________________________ FOR abrdn ETFs and abrdn Funds The following are the names, titles, signatures, phone numbers, and email addresses of all persons (each, an “Authorized Person”) authorized to give instructions relating to any activity contemplated by the Authorized Participant Agreement for the abrdn ETFs (the “Agreement”) or any other notice, request or instruction on behalf of the Authorized Participant pursuant to the Agreement. , Participant Name NSCC # *Permissions: RO- Read-Only (Allows users to see account information and run reports, but not place trades) ET – Execute Trades (Allows user to place trades directly on to Fund Connect) _____________________ (1) Required information. (2) Required information to use the Web Order Site.
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SHORT SETTLEMENT TRANSACTIONS. With respect to short settlement transactions, as may be permitted for certain Funds from time to time, the applicable Trust may assess a cash collateral buffer as a percentage of the total order value. The cash collateral buffer would be added to the Cash Component of the basket. On the business day Business Day following the trade date of a short settlement transaction, the applicable Trust will calculate the true-up amount and either instruct a return wire to the Authorized Participant with all or a portion of the cash collateral or require additional funds from the Authorized Participant. Each The Trust requires the true-up amount from the Authorized Participant to be paid same day. CREATION/REDEMPTION ORDER FORM DBX ETF TRUST CONTACT INFORMATION FOR abrdn ETFs and abrdn Funds ORDER EXECUTION: ALPS DISTRIBUTORs, INC., DISTRIBUTOR BANK OF NEW YORK MELLON, TRUSTEE ALL ITEMS IN PART I MUST BE COMPLETED BY PARTICIPANT. THE DISTRIBUTOR, THE TRANSFER AGENT, AND/OR THE TRUST, IN THEIR DISCRETION, MAY REJECT ANY ORDER NOT SUBMITTED IN COMPLETE FORM OR CONTAINING AMBIGUOUS INSTRUCTIONS. DEFINED TERMS SET FORTH BELOW SHALL HAVE THE MEANING AS SET FORTH IN THE PARTICIPANT AGREEMENT.
I. TO BE COMPLETED BY PARTICIPANT Date:___________________________ (“Authorized Participant”) hereby represents that as of the date set forth below, Authorized Participant [Please check only one]: ____ is registered in the appropriate category with the Commodity Futures Trading Commission (“CFTC”) and/or the National Futures Association (“NFA”). CFTC NumberTime:_____________ NFA Number(ET) Your Name:____________ ____ is exempted from registration pursuant to the Commodity Exchange Act of 1936, as amended (“CEA”), or the rules and regulations promulgated by the CFTC or NFA thereunder, excluded from applicable defined terms under the CEA or the rules and regulations promulgated by the CFTC or NFA thereunder, or has otherwise obtained no-action or exemptive relief from the CFTC or NFA [please specify the exemption reason]: Signature: _____________________________________ Firm Name: :_____________________________________ TitleNSCC/DTC Participant Number:__________ /_________ Telephone Number:______________________________ Email Address:___________________________________ Fax Number:____________________________________ Type of order (Check One): r Creation r Redemption Settlement Type (Check One): r Cash* r In-Kind r Cash in lieu #ASHS, ASHR are CASH ONLY Settlement Option (Check One) Subject to Approval: r T+0 r T+1 r T+2 r T+3 #Redemptions for ASHR and ASHS Select ETF for transaction (One CU = 10,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers MSCI Kokusai Equity ETF KOKU 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM Select ETF for transaction (One CU = 25,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers Risk Managed USD High Yield Strategy ETF HYRM 9:00AM - 4:00 PM N/A N/A r Xtrackers ▇▇▇▇▇▇▇ 1000 US Quality at a Reasonable Price ETF QARP 9:00AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers US Green Infrastructure Select Equity ETF UPGR 9:00AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers Semiconductor Select Equity ETF CHPS 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Cybersecurity Select Equity ETF PSWD 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers RREEF Global Natural Resources ETF NRES 9:00 - 10:00 AM N/A 4:00 - 5:00 PM Select ETF for transaction (One CU = 50,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers MSCI All World ex US Hedged Equity ETF DBAW 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Emerging Markets Hedged Equity ETF DBEM 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Europe Hedged Equity ETF DBEU 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Eurozone Hedged Equity ETF DBEZ 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Japan Hedged Equity ETF DBJP 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI All World ex US High Dividend Yield Equity ETF HDAW 9:00 AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers MSCI EAFE High Dividend Yield Equity ETF HDEF 9:00 AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Municipal Infrastructure Revenue Bond ETF RVNU 9:00 AM - 3:00 PM N/A N/A r Xtrackers Short Duration High Yield Bond ETF SHYL 9:00 AM - 3:00 PM N/A N/A r Xtrackers High Beta High Yield Bond ETF HYUP 9:00 AM - 3:00 PM N/A N/A r Xtrackers Low Beta High Yield Bond ETF HYDW 9:00 AM - 3:00 PM N/A N/A r Xtrackers International Real Estate ETF HAUZ 9:00 AM - 2:00 PM N/A 4:00 - 5:00 PM r Xtrackers ▇▇▇▇▇▇▇ US Multifactor ETF DEUS 9:00 AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers FTSE Developed ex US Multifactor ETF DEEF 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Harvest CSI 300 China A-Shares ETF# ASHR N/A N/A 4:00 - 4:45 PM r Xtrackers Harvest CSI 500 China A-Shares Small Cap ETF# ASHS N/A N/A 4:00 - 4:45 PM r Xtrackers MSCI EAFE ESG Leaders Equity ETF EASG 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers MSCI Emerging Markets ESG Leaders Equity ETF EMSG 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Emerging Markets Carbon Reduction and Climate Improvers ETF EMCR 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers MSCI USA ESG Leaders Equity ETF** USSG 9:00 AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers S&P 500 ESG ETF** SNPE 9:00 AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers S&P MidCap 400 ESG ETF MIDE 9:00AM - 4:00 PM 8:00 -9:30 AM N/A Select ETF for transaction (One CU = 50,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers Net Zero Pathway Paris Aligned US Equity ETF USNZ 9:00AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers S&P ESG Dividend Aristocrats ETF SNPD 9:00AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers S&P 500 Growth ESG ETF SNPG 9:00AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers S&P 500 Value ESG ETF SNPV 9:00AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers MSCI USA Climate Action Equity ETF USCA 9:00AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers USD High Yield BB-B ex Financials ETF BHYB 9:00AM - 3:00 PM N/A N/A r Xtrackers US National Critical Technologies ETF CRTC 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers California Municipal Bond ETF CA 9:00AM - 3:00 PM N/A N/A Select ETF for transaction (One CU = 100,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers USD High Yield Corporate Bond ETF HYLB 9:00 AM - 3:00 PM 9:00 AM - 3:00 PM In-Kind N/A N/A Select ETF for transaction (One CU = 200,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers MSCI EAFE Hedged Equity ETF DBEF 9:00-10:00 AM N/A 4:00-5:00 PM If creation/redemption is a custom basket order, indicate the restricted security name, ticker and number of shares to be settled in cash as part of the Cash Component. Name ____________________________ Symbol _________ Number of Shares_____________ Name ____________________________ Symbol _________ Number of Shares_____________ The Participant represents and warrants that it will not redeem a Creation Unit unless it, or the party for which it is acting, as the case may be, first owns the requisite number of Shares to be redeemed as a Creation Unit. With respect to each order for one or more Creation Units of Shares of the Fund, the Participant represents and warrants to the Distributor, Transfer Agent and the Fund that (based upon the number of outstanding Shares of the Fund made publicly available by the Fund) (i) it does not hold, and will not as a result of the contemplated transaction hold, for the account of any single Beneficial Owner of Shares of the Fund, eighty percent (80%) or more of the outstanding Shares of the Fund, or (ii) if it does hold for the account of any single Beneficial Owner of Shares of the Fund, eighty percent (80%) or more of the outstanding Shares of the Fund, that such a circumstance would not result in Fund acquiring a basis in the portfolio securities deposited with the Fund with respect to an order to create Shares in the Fund different from the market value of such portfolio securities on the date of such order, pursuant to Section 351 and 362 of the Internal Revenue Code of 1986, as amended. If more than one Beneficial Owner is combined in an order to create Shares, this representation is made by taking into account all such Beneficial Owners’ ownership of Shares as a group. THIS TRANSACTION SHALL BE EFFECTED IN ACCORDANCE WITH THE TERMS AND CONDITIONS OF THE TRUST’S CURRENT PROSPECTUS AND THE PARTICIPANT AGREEMENT #of Creation Units (CU) Transacted Number:_________ Number written out: _________________________ Order #: __________________ Authorized Person’s Signature_____________________________________ Date______
II. TO BE COMPLETED BY DISTRIBUTOR/TRUSTEE This certifies that the above order has been: r Accepted by the Distributor/Trustee r Declined-Reason: ___________________________________ Date___________ FOR abrdn ETFs and abrdn Funds The following are the names, titles, signatures, phone numbers, and email addresses of all persons (each, an “Time________ Authorized Person”) authorized to give instructions relating to any activity contemplated by the Authorized Participant Agreement for the abrdn ETFs (the “Agreement”) or any other notice, request or instruction on behalf of the Authorized Participant pursuant to the Agreement. , Participant Name NSCC # *Permissions: RO- Read-Only (Allows users to see account information and run reports, but not place trades) ET – Execute Trades (Allows user to place trades directly on to Fund Connect) Signature_____________________
__________ The following are the names, titles and signatures of all persons (1each an “Authorized Person") Required information.
(2) Required information authorized to use give instructions relating to any activity contemplated by this Agreement or any other notice, request or instruction on behalf of the Web Order Site.AP pursuant to this Agreement. Participant Name NSCC #
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SHORT SETTLEMENT TRANSACTIONS. With respect to short settlement transactions, as may be permitted for certain Funds from time to time, the applicable Trust may assess a cash collateral buffer as a percentage of the total order value. The cash collateral buffer would be added to the Cash Component of the basket. On the business day following the trade date of a short settlement transaction, the applicable Trust will calculate the true-up amount and either instruct a return wire to the Authorized Participant with all or a portion of the cash collateral or require additional funds from the Authorized Participant. Each Trust requires the true-up amount from the Authorized Participant to be paid same day. FOR abrdn ETFs and abrdn Funds _____________________________ (“Authorized Participant”) hereby represents that as of the date set forth below, Authorized Participant [Please check only one]: ____ ¨ is registered in the appropriate category with the Commodity Futures Trading Commission (“CFTC”) and/or the National Futures Association (“NFA”). CFTC Number:________________ NFA Number:____________ ____ ¨ is exempted from registration pursuant to the Commodity Exchange Act of 1936, as amended (“CEA”), or the rules and regulations promulgated by the CFTC or NFA thereunder, excluded from applicable defined terms under the CEA or the rules and regulations promulgated by the CFTC or NFA thereunder, or has otherwise obtained no-action or exemptive relief from the CFTC or NFA [please specify the exemption reason]: Signature: __________________________________________________________________ Name: _____________________________________ Title: _____________________________________ Date: _____________________________________ FOR abrdn ETFs and abrdn Funds The following are the names, titles, signatures, phone numbers, and email addresses of all persons (each, an “Authorized Person”) authorized to give instructions relating to any activity contemplated by the Authorized Participant Agreement for the abrdn ETFs (the “Agreement”) or any other notice, request or instruction on behalf of the Authorized Participant pursuant to the Agreement. , Participant Name NSCC # *Permissions: RO- Read-Only (Allows users to see account information and run reports, but not place trades) ET – Execute Trades (Allows user to place trades directly on to Fund Connect) __)___________________
(1) Required information.
(2) Required information to use the Web Order Site.
Appears in 1 contract
SHORT SETTLEMENT TRANSACTIONS. With respect to short settlement transactions, as may be permitted for certain Funds from time to time, the applicable Trust may assess a cash collateral buffer as a percentage of the total order value. The cash collateral buffer would be added to the Cash Component of the basket. On the business day Business Day following the trade date of a short settlement transaction, the applicable Trust will calculate the true-up amount and either instruct a return wire to the Authorized Participant with all or a portion of the cash collateral or require additional funds from the Authorized Participant. Each The Trust requires the true-up amount from the Authorized Participant to be paid same day. CREATION/REDEMPTION ORDER FORM DBX ETF TRUST CONTACT INFORMATION FOR abrdn ETFs and abrdn Funds ORDER EXECUTION: ALPS DISTRIBUTORs, INC., DISTRIBUTOR BANK OF NEW YORK MELLON, TRUSTEE ALL ITEMS IN PART I MUST BE COMPLETED BY PARTICIPANT. THE DISTRIBUTOR, THE TRANSFER AGENT, AND/OR THE TRUST, IN THEIR DISCRETION, MAY REJECT ANY ORDER NOT SUBMITTED IN COMPLETE FORM OR CONTAINING AMBIGUOUS INSTRUCTIONS. DEFINED TERMS SET FORTH BELOW SHALL HAVE THE MEANING AS SET FORTH IN THE PARTICIPANT AGREEMENT.
I. TO BE COMPLETED BY PARTICIPANT Date:___________________________ (“Authorized Participant”) hereby represents that as of the date set forth below, Authorized Participant [Please check only one]: ____ is registered in the appropriate category with the Commodity Futures Trading Commission (“CFTC”) and/or the National Futures Association (“NFA”). CFTC NumberTime:_____________ NFA Number(ET) Your Name:____________ ____ is exempted from registration pursuant to the Commodity Exchange Act of 1936, as amended (“CEA”), or the rules and regulations promulgated by the CFTC or NFA thereunder, excluded from applicable defined terms under the CEA or the rules and regulations promulgated by the CFTC or NFA thereunder, or has otherwise obtained no-action or exemptive relief from the CFTC or NFA [please specify the exemption reason]: Signature: _____________________________________ Firm Name: :_____________________________________ TitleNSCC/DTC Participant Number:__________ /_________ Telephone Number:______________________________ Email Address:___________________________________ Fax Number:____________________________________ Type of order (Check One): r Creation r Redemption Settlement Type (Check One): r Cash* r In-Kind r Cash in lieu #ASHS, ASHR are CASH ONLY Settlement Option (Check One) Subject to Approval: r T+0 r T+1 r T+2 r T+3 #Redemptions for ASHR and ASHS Select ETF for transaction (One CU = 10,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers MSCI Kokusai Equity ETF KOKU 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM Select ETF for transaction (One CU = 25,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers Risk Managed USD High Yield Strategy ETF HYRM 9:00AM - 4:00 PM N/A N/A r Xtrackers ▇▇▇▇▇▇▇ 1000 US Quality at a Reasonable Price ETF QARP 9:00AM - 4:00 PM N/A N/A r Xtrackers US Green Infrastructure Select Equity ETF UPGR 9:00AM - 4:00 PM N/A N/A r Xtrackers Semiconductor Select Equity ETF CHPS 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Cybersecurity Select Equity ETF PSWD 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers RREEF Global Natural Resources ETF NRES 9:00 - 10:00 AM N/A 4:00 - 5:00 PM Select ETF for transaction (One CU = 50,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers MSCI All World ex US Hedged Equity ETF DBAW 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Emerging Markets Hedged Equity ETF DBEM 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Europe Hedged Equity ETF DBEU 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Eurozone Hedged Equity ETF DBEZ 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI Japan Hedged Equity ETF DBJP 9:00 - 10:00 AM N/A 4:00 - 5:00 PM r Xtrackers MSCI All World ex US High Dividend Yield Equity ETF HDAW 9:00 AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers MSCI EAFE High Dividend Yield Equity ETF HDEF 9:00 AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Municipal Infrastructure Revenue Bond ETF RVNU 9:00 AM - 3:00 PM N/A N/A r Xtrackers Short Duration High Yield Bond ETF SHYL 9:00 AM - 3:00 PM N/A N/A r Xtrackers High Beta High Yield Bond ETF HYUP 9:00 AM - 3:00 PM N/A N/A r Xtrackers Low Beta High Yield Bond ETF HYDW 9:00 AM - 3:00 PM N/A N/A r Xtrackers International Real Estate ETF HAUZ 9:00 AM - 2:00 PM N/A 4:00 - 5:00 PM r Xtrackers ▇▇▇▇▇▇▇ US Multifactor ETF DEUS 9:00 AM - 4:00 PM N/A N/A r Xtrackers FTSE Developed ex US Multifactor ETF DEEF 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Harvest CSI 300 China A-Shares ETF# ASHR N/A N/A 4:00 - 4:45 PM r Xtrackers Harvest CSI 500 China A-Shares Small Cap ETF# ASHS N/A N/A 4:00 - 4:45 PM r Xtrackers MSCI EAFE ESG Leaders Equity ETF EASG 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers MSCI Emerging Markets ESG Leaders Equity ETF EMSG 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers Emerging Markets Carbon Reduction and Climate Improvers ETF EMCR 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers MSCI USA ESG Leaders Equity ETF** USSG 9:00 AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers S&P 500 ESG ETF** SNPE 9:00 AM - 4:00 PM 8:00 -9:30 AM N/A r Xtrackers S&P MidCap 400 ESG ETF MIDE 9:00AM - 4:00 PM N/A N/A Select ETF for transaction (One CU = 50,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers S&P SmallCap 600 ESG ETF SMLE 9:00AM - 4:00 PM N/A N/A r Xtrackers Net Zero Pathway Paris Aligned US Equity ETF USNZ 9:00AM - 4:00 PM N/A N/A r Xtrackers S&P ESG Dividend Aristocrats ETF SNPD 9:00AM - 4:00 PM N/A N/A r Xtrackers S&P 500 Growth ESG ETF SNPG 9:00AM - 4:00 PM N/A N/A r Xtrackers S&P 500 Value ESG ETF SNPV 9:00AM - 4:00 PM N/A N/A r Xtrackers MSCI USA Climate Action Equity ETF USCA 9:00AM - 4:00 PM N/A N/A r Xtrackers USD High Yield BB-B ex Financials ETF BHYB 9:00AM - 3:00 PM N/A N/A r Xtrackers US National Critical Technologies ETF CRTC 9:00AM - 4:00 PM N/A 4:00 - 5:00 PM r Xtrackers California Municipal Bond ETF CA 9:00AM - 3:00 PM N/A N/A Select ETF for transaction (One CU = 100,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers USD High Yield Corporate Bond ETF HYLB 9:00 AM - 3:00 PM 9:00 AM - 3:00 PM In-Kind N/A N/A Select ETF for transaction (One CU = 200,000 Shares) TICKER T WINDOW T+0 WINDOW T-1 WINDOW r Xtrackers MSCI EAFE Hedged Equity ETF DBEF 9:00-10:00 AM N/A 4:00-5:00 PM If creation/redemption is a custom basket order, indicate the restricted security name, ticker and number of shares to be settled in cash as part of the Cash Component. Name ____________________________ Symbol _________ Number of Shares_____________ Name ____________________________ Symbol _________ Number of Shares_____________ The Participant represents and warrants that it will not redeem a Creation Unit unless it, or the party for which it is acting, as the case may be, first owns the requisite number of Shares to be redeemed as a Creation Unit. With respect to each order for one or more Creation Units of Shares of the Fund, the Participant represents and warrants to the Distributor, Transfer Agent and the Fund that (based upon the number of outstanding Shares of the Fund made publicly available by the Fund) (i) it does not hold, and will not as a result of the contemplated transaction hold, for the account of any single Beneficial Owner of Shares of the Fund, eighty percent (80%) or more of the outstanding Shares of the Fund, or (ii) if it does hold for the account of any single Beneficial Owner of Shares of the Fund, eighty percent (80%) or more of the outstanding Shares of the Fund, that such a circumstance would not result in Fund acquiring a basis in the portfolio securities deposited with the Fund with respect to an order to create Shares in the Fund different from the market value of such portfolio securities on the date of such order, pursuant to Section 351 and 362 of the Internal Revenue Code of 1986, as amended. If more than one Beneficial Owner is combined in an order to create Shares, this representation is made by taking into account all such Beneficial Owners’ ownership of Shares as a group. THIS TRANSACTION SHALL BE EFFECTED IN ACCORDANCE WITH THE TERMS AND CONDITIONS OF THE TRUST’S CURRENT PROSPECTUS AND THE PARTICIPANT AGREEMENT #of Creation Units (CU) Transacted Number:_________ Number written out: _________________________ Order #: __________________ Authorized Person’s Signature_____________________________________ Date______
II. TO BE COMPLETED BY DISTRIBUTOR/TRUSTEE This certifies that the above order has been: r Accepted by the Distributor/Trustee r Declined-Reason: ___________________________________ Date___________ FOR abrdn ETFs and abrdn Funds The following are the names, titles, signatures, phone numbers, and email addresses of all persons (each, an “Time________ Authorized Person”) authorized to give instructions relating to any activity contemplated by the Authorized Participant Agreement for the abrdn ETFs (the “Agreement”) or any other notice, request or instruction on behalf of the Authorized Participant pursuant to the Agreement. , Participant Name NSCC # *Permissions: RO- Read-Only (Allows users to see account information and run reports, but not place trades) ET – Execute Trades (Allows user to place trades directly on to Fund Connect) Signature_____________________
__________ The following are the names, titles and signatures of all persons (1each an “Authorized Person") Required information.
(2) Required information authorized to use give instructions relating to any activity contemplated by this Agreement or any other notice, request or instruction on behalf of the Web Order Site.AP pursuant to this Agreement. Participant Name NSCC #
Appears in 1 contract