Exhibit dInvestment Advisory Agreement • December 21st, 2006 • Phoenix Equity Series Fund • Delaware
EXHIBIT h.1.c SECOND AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENT SECOND AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • December 28th, 2005 • Phoenix Equity Series Fund
THIS SECOND AMENDMENT is made by and between the undersigned entities (hereinafter singularly referred to as a "Fund" and collectively referred to as the "Phoenix Funds" or "Funds"), and Phoenix Equity Planning Corporation (hereinafter referred to as the "Transfer Agent") and amends the Transfer Agency and Service Agreement dated as of June 1, 1994, 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 Funds.
Exhibit 6.1Underwriting Agreement • May 20th, 1998 • Phoenix Equity Series Fund • Connecticut
EXHIBIT e.2 FORM OF SALES AGREEMENT BETWEEN PEPCO AND DEALERSSales Agreement • December 28th, 2005 • Phoenix Equity Series Fund • Connecticut
AGREEMENT AND DECLARATION OF TRUST OF PHOENIX EQUITY SERIES FUNDTrust Agreement • September 14th, 2007 • Phoenix Equity Series Fund • Delaware
THIS AGREEMENT AND DECLARATION OF TRUST is made and entered into as of the date set forth below by the Trustees named hereunder for the purpose of forming a Delaware business trust in accordance with the provisions hereinafter set forth,
Exhibit 9.4 FIRST AMENDMENT TO AMENDED AND RESTATED FINANCIAL AGENT AGREEMENT FIRST AMENDMENT TO AMENDED AND RESTATED FINANCIAL AGENT AGREEMENTFinancial Agent Agreement • May 20th, 1998 • Phoenix Equity Series Fund
FORM OF DISTRIBUTION AGREEMENT THIS AGREEMENT made as of this day of September, 1997, by and between Phoenix Equity Series Fund, a Massachusetts business trust having a place of business located at 101 Munson Street, Greenfield, Massachusetts (the...Distribution Agreement • September 23rd, 1997 • Phoenix Equity Series Fund • Massachusetts
Exhibit g.4Master Custodian Contract • December 30th, 2003 • Phoenix Equity Series Fund
Exhibit 8.1 Custodian Contract CUSTODIAN CONTRACT Between EACH OF THE PARTIES LISTED ON APPENDIX 1 and STATE STREET BANK AND TRUST COMPANYCustodian Contract • August 22nd, 1997 • Phoenix Equity Series Fund • London
Exhibit 13 Initial Capital Agreement INITIAL CAPITAL AGREEMENTInitial Capital Agreement • September 23rd, 1997 • Phoenix Equity Series Fund
Phoenix Equity Series Fund (the "Trust") proposes to issue and sell shares of beneficial interest of its Series (the "Shares") pursuant to a registration statement on Form N-1A (the "Registration Statement") filed with the Securities and Exchange Commission. The undersigned hereby offers to purchase such number of Shares contemporaneous with the effective date of the Registration Statement (or such earlier date as may be agreed upon) required in order to provide the Trust with a net worth of at least $100,000 as required by Section 14 of the Investment Company Act of 1940, as amended.
Exhibit 15.1Distribution Plan • May 20th, 1998 • Phoenix Equity Series Fund
SECOND AMENDMENT TO SCHEDULE A of ADMINISTRATION AGREEMENTAdministration Agreement • November 13th, 2007 • Phoenix Equity Series Fund
THIS AMENDMENT made effective as of the 24th day of September, 2007 amends that certain administration agreement, dated as of July 1, 2006, as amended June 27, 2007, 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.
Exhibit 9.2 Sub-Transfer Agent Agreement SUB-TRANSFER AGENCY AND SERVICE AGREEMENT between PHOENIX EQUITY PLANNING CORPORATION and STATE STREET BANK AND TRUST COMPANYSub-Transfer Agent Agreement • May 20th, 1998 • Phoenix Equity Series Fund • Massachusetts
PHOENIX EQUITY PLANNING CORPORATION Hartford, CT 06115-0480Sales Agreement • September 14th, 2007 • Phoenix Equity Series Fund • 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”.
PHOENIX EQUITY SERIES FUND (the “Fund”) CLASS B SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • September 14th, 2007 • Phoenix Equity Series Fund
Exhibit a Agreement and Declaration of TrustTrust Agreement • December 15th, 2000 • Phoenix Equity Series Fund • Delaware
AMENDMENT TO SUB-TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN PHOENIX EQUITY PLANNING CORPORATION AND BOSTON FINANCIAL DATA SERVICES, INC.Sub-Transfer Agency and Service Agreement • November 13th, 2007 • Phoenix Equity Series Fund
This Amendment is made as of this 1st day of July 2006 between Phoenix Equity Planning Corporation (the “Transfer Agent”) and Boston Financial Data Services, Inc. (the “Sub-Transfer Agent”). In accordance with Article 3 (Fees and Expenses), Article 15.1 (Amendment) and Article 16 (Additional Funds) of the Sub-Transfer Agency and Service Agreement between the Transfer Agent and Sub-Transfer Agent dated as of January 1, 2005 (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
PHOENIX EQUITY SERIES FUND (the “Fund”) CLASS A SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • September 14th, 2007 • Phoenix Equity Series Fund
Exhibit 6.4Sales Contract • May 20th, 1998 • Phoenix Equity Series Fund
Exhibit 15.4Distribution Agreement • May 20th, 1998 • Phoenix Equity Series Fund
PHOENIX EQUITY SERIES FUND (the “Fund”) CLASS C SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Agreement • September 14th, 2007 • Phoenix Equity Series Fund
Exhibit 15.2Distribution Plan • May 20th, 1998 • Phoenix Equity Series Fund
Exhibit 15.3Distribution Plan • May 20th, 1998 • Phoenix Equity Series Fund
SECOND AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT PHOENIX EQUITY SERIES FUNDExpense Limitation Agreement • November 13th, 2007 • Phoenix Equity Series Fund • Delaware
This Second Amended and Restated Expense Limitation Agreement (the “Agreement”) effective as of August 23, 2007 amends that certain Expense Limitation Agreement effective as of January 1, 2006 as amended and restated on January 1, 2007 by and between Phoenix Equity Series Fund, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Phoenix Investment Counsel, Inc., a Massachusetts corporation (the “Adviser”).
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT PHOENIX EQUITY SERIES FUNDExpense Limitation Agreement • September 14th, 2007 • Phoenix Equity Series Fund • Delaware
This Amended and Restated Expense Limitation Agreement (the “Agreement”) is effective as of January 1, 2007 by and between Phoenix Equity Series Fund, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Phoenix Investment Counsel, Inc., a Massachusetts corporation (the “Adviser”).
PHOENIX EQUITY SERIES FUND INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT, effective as of the 1st day of January, 2005 (the "Contract Date") by and between Phoenix Equity Series Fund, a Delaware business trust (the "Trust") and Engemann Asset...Investment Advisory Agreement • April 28th, 2005 • Phoenix Equity Series Fund • Delaware
Exhibit 77Q1 (a)(1) - Amendment to Declaration of Trust, dated November 16, 2006, filed via EDGAR herewith. Exhibit 77Q1 (e)(1) - Investment Advisory Agreement between registrant and Phoenix Investment Counsel, Inc. dated September 1, 2006 filed via...Investment Advisory Agreement • April 25th, 2007 • Phoenix Equity Series Fund
Exhibit 77Q1 (e)(1) - Investment Advisory Agreement between registrant and Phoenix Investment Counsel, Inc. dated September 1, 2006 filed via EDGAR with Post-effective Amendment no 13 on December 21, 2006 and incorporated herein by reference.
