PGIM ROCK ETF TRUST
AMENDMENT NO. 2 TO MANAGEMENT AGREEMENT
Amendment No. 2 to Management Agreement made this 1st day of June 2026, between PGIM Rock ETF Trust, a Delaware statutory trust (the “Trust”), on behalf of certain of its series, as listed on Schedule A (each, a “Fund”; collectively, the “Funds”), and PGIM Investments LLC, a New York limited liability company (the Manager).
WHEREAS, the Manager has entered into a Management Agreement (the Management Agreement) dated October 26, 2023, with the Trust for the Funds, as amended from time to time, pursuant to which PGIM Investments act as Manager of the Trust; and
WHEREAS, the Trust and the Manager have mutually agreed to revise Schedule A of the Management Agreement, in order to include the PGIM S&P 500 Quarterly Buffer 5 ETF, PGIM S&P 500 Quarterly Buffer 10 ETF, PGIM S&P 500 Quarterly Buffer 15 ETF and PGIM S&P 500 Quarterly Buffer 20 ETF as new series of the Trust (the New Funds), and whereby each New Fund compensates the Manager for the services provided by the Manager to the New Funds under the Management Agreement; and
NOW THEREFORE, the parties mutually agree as follows:
1.The management fee rate schedule for the Funds appearing in Schedule A is hereby deleted in its entirety and is replaced with the attached Schedule A.
2.The Management Agreement is unchanged in all other respects.
IN WITNESS WHEREOF, the parties hereto have caused this instrument to be executed by their officers designated below as of the day and year above written.
PGIM ROCK ETF TRUST
On behalf of its series, listed on Schedule A
By: /s/ Stuart Parker
Name: Stuart Parker
Title: President
PGIM INVESTMENTS LLC
By: /s/ Scott E. Benjamin
Name: Scott E. Benjamin
Title: Executive Vice President
SCHEDULE A
PGIM Rock ETF Trust
|
Fund Name |
Annual Fee Rate |
Effective Date |
|
PGIM S&P 500 Buffer 12 ETF – January |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Equity Buffer 12 ETF |
ETF |
|
|
– January) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
February (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 12 ETF – February) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – March |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 12 |
ETF |
|
|
ETF – March) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – April |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 12 |
ETF |
|
|
ETF – April) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – May |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 12 |
ETF |
|
|
ETF – May) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – June |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 12 |
ETF |
|
|
ETF – June) |
|
|
|
PGIM US&P 500 Buffer 12 ETF – July |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 12 |
ETF |
|
|
ETF – July) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – August |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 12 |
ETF |
|
|
ETF – August) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
September (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 12 ETF – September) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – October |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 12 |
ETF |
|
|
ETF – October) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
November (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 12 ETF – November) |
|
|
|
PGIM S&P 500 Buffer 12 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
December (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 12 ETF – December) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – January |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – January) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
February (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 20 ETF – February) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – March |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – March) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – April |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – April) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – May |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – May) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – June |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – June) |
|
|
2
|
PGIM S&P 500 Buffer 20 ETF – July |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – July) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – August |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – August) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
September (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 20 ETF – September) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – October |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
(formerly, PGIM US Large-Cap Buffer 20 |
ETF |
|
|
ETF – October) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
November (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 20 ETF – November) |
|
|
|
PGIM S&P 500 Buffer 20 ETF – |
0.50% of the average daily net assets of the |
October 26, 2023 |
|
December (formerly, PGIM US Large-Cap |
ETF |
|
|
Buffer 20 ETF – December) |
|
|
|
PGIM S&P 500 Max Buffer ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
January |
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
February |
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – March |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – April |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – May |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – June |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – July |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – August |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
September |
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
October |
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
November |
ETF |
|
|
PGIM S&P 500 Max Buffer ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
December |
ETF |
|
|
PGIM Nasdaq-100 Buffer 12 ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
January |
ETF |
|
|
PGIM Nasdaq-100 Buffer 12 ETF – April |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM Nasdaq-100 Buffer 12 ETF – July |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
|
ETF |
|
|
PGIM Nasdaq-100 Buffer 12 ETF – |
0.50% of the average daily net assets of the |
December 12, 2024 |
|
October |
ETF |
|
|
PGIM S&P 500 Quarterly Buffer 5 ETF |
0.50% of the average daily net assets of the |
June 1, 2026 |
|
|
ETF |
|
|
PGIM S&P 500 Quarterly Buffer 10 ETF |
0.50% of the average daily net assets of the |
June 1, 2026 |
|
|
ETF |
|
|
PGIM S&P 500 Quarterly Buffer 15 ETF |
0.50% of the average daily net assets of the |
June 1, 2026 |
|
|
ETF |
|
|
PGIM S&P 500 Quarterly Buffer 20 ETF |
0.50% of the average daily net assets of the |
June 1, 2026 |
|
|
ETF |
|
3
Schedule dated: June 1, 2026.
4