iii) Preparation of registration statements, amendments to registration statements, proxy materials and other Trust documents, to the extent required by law or directed by the Trustees; and (iv) Advice and assistance of Adviser's General Counsel to...Investment Advisory Agreement • May 20th, 1998 • Seneca Funds • Delaware
15- 2 d. A copy of the investment advisory agreement between the Fund and its investment adviser; andAdministration Agreement • October 31st, 1996 • Seneca Funds • Massachusetts
SECOND AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENT SECOND AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENT PHOENIX-SENECA FUNDSTransfer Agency and Service Agreement • January 27th, 2006 • Phoenix Opportunities Trust
THIS SECOND AMENDMENT is made by and between Phoenix-Seneca Funds (hereinafter referred to as the "Fund") and Phoenix Equity Planning Corporation (hereinafter referred to as the "Transfer Agent") and amends the Transfer Agency and Service Agreement dated as of October 18, 1997, and amended by a First Amendment dated February 28, 2004 (the "Agreement"), pursuant to which the Transfer Agent has agreed to provide certain transfer agent and related services to the Fund.
EXHIBIT h.1Expense Limitation Agreement • June 27th, 2007 • Phoenix Opportunities Trust • Delaware
Exhibit d.7 Third Amendment to Subadvisory AgreementSubadvisory Agreement • January 30th, 2007 • Phoenix Opportunities Trust
Exhibit g.1 Custodian Contract CUSTODIAN CONTRACT Between EACH OF THE PARTIES LISTED ON APPENDIX 1 and STATE STREET BANK AND TRUST COMPANYCustodian Contract • January 24th, 2000 • Phoenix Seneca Funds • London
PHOENIX-SENECA FUNDS INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT made effective as of the ___ day of January, 1998 by and between PHOENIX-SENECA FUNDS, a Delaware business trust having an office and principal place of business located at 909...Investment Advisory Agreement • November 28th, 1997 • Seneca Funds • Delaware
TWENTY-THIRD AMENDMENT TO AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT THIS AMENDMENT effective as of the 8th day of February 2016, amends that certain Amended and Restated Investment Advisory Agreement dated as of November 20, 2002, and amended...Investment Advisory Agreement • May 27th, 2016 • Virtus Opportunities Trust
Exhibit e.1Underwriting Agreement • January 25th, 2005 • Phoenix Seneca Funds • Connecticut
8- 2 to the policies of each Series as expressed in the Trust's Agreement and Declaration of Trust, By-laws, Form N-1A Registration Statement ("Registration Statement") under the 1940 Act and under the Securities Act of 1933, as amended (the "1933...Investment Management Agreement • October 31st, 1996 • Seneca Funds • California
Exhibit g.5Custodian Services Agreement • January 30th, 2007 • Phoenix Opportunities Trust
EXHIBIT e.2Sales Agreement • January 29th, 2004 • Phoenix Seneca Funds • Connecticut
1 EXHIBIT 9(c)Sub-Administration Agreement • October 31st, 1996 • Seneca Funds • Massachusetts
1 Exhibit 13Share Purchase Agreement • February 29th, 1996 • Seneca Funds
TRANSFER AGENCY AND SERVICE AGREEMENT TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • May 20th, 1998 • Seneca Funds • Connecticut
EXHIBIT d.1Investment Advisory Agreement • January 29th, 2004 • Phoenix Seneca Funds • Connecticut
FINANCIAL AGENT AGREEMENT THIS AGREEMENT made and concluded as of this 1st day of July, 1998 by and between Phoenix Equity Planning Corporation, a Connecticut corporation having a place of business located at 100 Bright Meadow Boulevard, Enfield,...Financial Agent Agreement • January 24th, 2000 • Phoenix Seneca Funds • Massachusetts
Exhibit h.2Transfer Agency and Service Agreement • January 25th, 2005 • Phoenix Seneca Funds
EXHIBIT g.2Master Custodian Contract • January 29th, 2004 • Phoenix Seneca Funds
VIRTUS OPPORTUNITIES TRUST Virtus SGA Emerging Markets Equity Fund SUBADVISORY AGREEMENTSubadvisory Agreement • January 24th, 2024 • Virtus Opportunities Trust • Delaware
Virtus Opportunities Trust (the “Trust”) is an open-end investment company of the series type registered under the Investment Company Act of 1940, as amended (the “Act”), and is subject to the rules and regulations promulgated thereunder. The shares of the Trust are offered or may be offered in several series, including Virtus SGA Emerging Markets Equity Fund (sometimes hereafter referred to as the “Series”).
1 EXHIBIT 8 FORM OF CUSTODY AND INVESTMENT ACCOUNTING AGREEMENTCustody and Investment Accounting Agreement • February 13th, 1996 • Seneca Funds • Missouri
VIRTUS OPPORTUNITIES TRUST VIRTUS INTERNATIONAL EQUITY FUND SUBADVISORY AGREEMENTSubadvisory Agreement • January 20th, 2017 • Virtus Opportunities Trust • Delaware
Virtus Opportunities Trust (the “Fund”) is an open-end investment company of the series type registered under the Investment Company Act of 1940 (the “Act”), as amended, and is subject to the rules and regulations promulgated thereunder. The shares of the Fund are offered or may be offered in several series, including Virtus International Equity Fund (sometimes hereafter referred to as the “Series”).
CUSTODIAN SERVICES AGREEMENTCustodian Services Agreement • January 28th, 2010 • Virtus Opportunities Trust
THIS AGREEMENT is made as of November 23, 2009 by and between PFPC TRUST COMPANY, a limited purpose trust company incorporated under the laws of Delaware (“PFPC Trust”) and each of the investment companies listed on Appendix B attached hereto and made a part hereof ( each, the “Fund” and together, the “Funds”). Capitalized terms not otherwise defined shall have the meanings set forth in Appendix A.
EXHIBIT 15(c) CLASS C SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 PHOENIX- SENECA FUNDS (the "Fund") CLASS C SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • May 20th, 1998 • Seneca Funds
THIRTEENTH AMENDMENT TO AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT THIS AMENDMENT effective as of the 15th day of March, 2011 amends that certain Amended and Restated Investment Advisory Agreement dated as of November 20, 2002, and amended as...Investment Advisory Agreement • May 27th, 2011 • Virtus Opportunities Trust
AMENDMENT TO SCHEDULE A of ADMINISTRATION AGREEMENTAdministration Agreement • November 14th, 2007 • Phoenix Opportunities Trust
THIS AMENDMENT made effective as of the 27th day of June, 2007 amends that certain administration agreement, dated as of July 1, 2006 between the trusts listed on Schedule A (each, a “Trust” and together the “Trusts”) including the funds listed under each Trust (each, a “Fund” and together the “Funds”) and Phoenix Equity Planning Corporation, a Connecticut Corporation (the “Administration Agreement”) as herein below provided.
VATS OFFSHORE FUND, LTD. SUBADVISORY AGREEMENTSubadvisory Agreement • August 31st, 2020 • Virtus Opportunities Trust • Delaware
VATS Offshore Fund, Ltd. (the “Fund”) is a wholly-owned subsidiary of Virtus FORT Trend Fund (the “Series”), a series of Virtus Opportunities Trust (the “Trust”), an open-end investment company of the series type registered under the Investment Company Act of 1940, as amended (the “Act”), and subject to the rules and regulations promulgated thereunder.
PHOENIX EQUITY PLANNING CORPORATION Hartford, CT 06115-0480Sales Agreement • September 24th, 2007 • Phoenix Opportunities Trust • Connecticut
Phoenix Equity Planning Corporation (“PEPCO”, “we”, “us”, or “our”) invites you to participate in the sale and distribution of shares of registered investment companies (which shall collectively be referred to hereinafter as the “Funds”) for which we are national distributor or principal underwriter, and which may be listed in Annex A hereto which such Annex may be amended by us from time to time. Upon acceptance of this agreement by PEPCO, you may offer and sell shares of each of the Funds (hereafter “Shares”) subject, however, to the terms and conditions hereof including our right to suspend or cease the sale of such shares. For the purposes hereof, the above referenced dealer shall be referred to as “you”.
INDEMNIFICATION AGREEMENTIndemnification Agreement • July 8th, 2016 • Virtus Opportunities Trust • Delaware
This Indemnification Agreement (this “Agreement”) is effective as of May 26, 2016 by and between (i) each trust whose name is set forth on the signature page (each such trust hereafter referred to as the “Trust”), acting on behalf of itself and each of its portfolio series, whether existing on the date hereof (as listed on Appendix A hereto) or subsequently established (the “Series”) and (ii) the trustee of the Trust whose name is set forth on the signature page (the “Trustee”).
Exhibit d.3 PHOENIX-SENECA FUNDS INVESTMENT SUBADVISORY AGREEMENT AMENDMENT PHOENIX-SENECA FUNDS INVESTMENT SUBADVISORY AGREEMENT AMENDMENTInvestment Subadvisory Agreement • January 25th, 2005 • Phoenix Seneca Funds
THIS AMENDMENT made effective as of the 1st day of July, 1998 by and between SENECA CAPITAL MANAGEMENT, LLC, a California limited liability company having an office and principal place of business located at 909 Montgomery Street, San Francisco, California 94133 (the "Sub-Adviser") and PHOENIX INVESTMENT COUNSEL, INC., a Massachusetts corporation having an office and principal place of business located at 56 Prospect Street, Hartford, Connecticut 06115 (the "Adviser"), for the purpose of amending the INVESTMENT SUBADVISORY AGREEMENT of the same date between the Sub-Adviser and the Adviser (the "Subadvisory Agreement") in order to correct a typographical error in such Subadvisory Agreement.
MASTER CUSTODY AGREEMENTMaster Custody Agreement • January 28th, 2010 • Virtus Opportunities Trust • New York
AGREEMENT, dated as of November 5, 2009 between each entity listed in Exhibit A hereto (each, a “Fund” and collectively, the “Funds”) for itself and for each of its Series, and The Bank of New York Mellon, a New York corporation authorized to do a banking business having its principal office and place of business at One Wall Street, New York, New York 10286 (“Custodian”).
VP Distributors, Inc. Hartford, CT 06103Sales Agreement • October 1st, 2009 • Virtus Opportunities Trust • Connecticut
VP Distributors, Inc. (“VPD”, “we”, “us”, or “our”) invites you to participate in the sale and distribution of shares of registered investment companies (which shall collectively be referred to hereinafter as the “Funds”) for which we are national distributor or principal underwriter, and which may be listed in Annex A hereto which such Annex may be amended by us from time to time. Upon acceptance of this agreement by VPD, you may offer and sell shares of each of the Funds (hereafter “Shares”) subject, however, to the terms and conditions hereof including our right to suspend or cease the sale of such shares. For the purposes hereof, the above referenced dealer shall be referred to as “you”.
VP Distributors, Inc. Hartford, CT 06103Sales Agreement • January 28th, 2010 • Virtus Opportunities Trust • Connecticut
VP Distributors, Inc. (“VPD”, “we”, “us”, or “our”) invites you to participate in the sale and distribution of shares of registered investment companies (which shall collectively be referred to hereinafter as the “Funds”) for which we are national distributor or principal underwriter, and which may be listed in Annex A hereto which such Annex may be amended by us from time to time. Upon acceptance of this agreement by VPD, you may offer and sell shares of each of the Funds (hereafter “Shares”) subject, however, to the terms and conditions hereof including our right to suspend or cease the sale of such shares. For the purposes hereof, the above referenced dealer shall be referred to as “you”.
EXHIBIT 15(a) CLASS A SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 PHOENIX-SENECA FUNDS (the "Fund") CLASS A SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • May 20th, 1998 • Seneca Funds
AMENDED AND RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • January 28th, 2010 • Virtus Opportunities Trust • Connecticut
This Amended and Restated Administration Agreement is made effective as of the 1st day of January, 2010, by and between the trusts listed on Schedule A (each a “Trust” and together the “Trusts”) including the funds listed under each Trust, commonly known as Virtus Mutual Funds (each, a “Fund” and together the “Funds”), and VP Distributors, Inc. (formerly Phoenix Equity Planning Corporation), a Connecticut corporation (the “Administrator”).
