DISTRIBUTION AGREEMENT THIS AGREEMENT made as of this 5th day of November, 1997, by and between Phoenix Investment Trust 97, a Massachusetts business trust having a place of business located at 101 Munson Street, Greenfield, Massachusetts (the...Distribution Agreement • November 3rd, 1997 • Phoenix Investment Trust 97 • Massachusetts
Exhibit dInvestment Advisory Agreement • December 29th, 2003 • Phoenix Investment Trust 97 • Connecticut
AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • June 7th, 2007 • Phoenix Equity Trust • Connecticut
EXHIBIT h.9Expense Limitation Agreement • June 28th, 2006 • Phoenix Investment Trust 97 • Connecticut
PHOENIX INVESTMENT TRUST 97 PHOENIX SMALL-CAP VALUE FUND SUBADVISORY AGREEMENT --------------------- PHOENIX INVESTMENT TRUST 97 PHOENIX SMALL-CAP VALUE FUND SUBADVISORY AGREEMENT ---------------------Subadvisory Agreement • December 20th, 2006 • Phoenix Investment Trust 97 • Delaware
Exhibit 8.1 Custodian Contract CUSTODIAN CONTRACT Between EACH OF THE PARTIES LISTED ON APPENDIX 1 and STATE STREET BANK AND TRUST COMPANYCustodian Contract • November 3rd, 1997 • Phoenix Investment Trust 97 • London
EXHIBIT d.2 INVESTMENT ADVISORY AGREEMENT BETWEEN REGISTRANT AND PIC ON BEHALF OF THE PHOENIX VALUE EQUITY FUNDInvestment Advisory Agreement • December 28th, 2005 • Phoenix Investment Trust 97 • Connecticut
AMENDMENT TO INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • June 28th, 2006 • Phoenix Investment Trust 97
UNDERWRITING AGREEMENT THIS AGREEMENT made as of this 19th day of November, 1997, by and between Phoenix Investment Trust 97, a Massachusetts business trust having a place of business located at 101 Munson Street, Greenfield, Massachusetts (the...Underwriting Agreement • May 15th, 1998 • Phoenix Investment Trust 97 • Connecticut
FORM OF DEFERRED COMPENSATION PLANDeferred Compensation Agreement • December 28th, 2005 • Phoenix Investment Trust 97
EXHIBIT e.2Sales Agreement • December 20th, 2006 • Phoenix Investment Trust 97 • Connecticut
Exhibit h.6 THIRD AMENDMENT TO AMENDED AND RESTATED FINANCIAL AGENT AGREEMENTFinancial Agent Agreement • December 29th, 2003 • Phoenix Investment Trust 97
Exhibit g.2 AMENDED MASTER CUSTODIAN CONTRACT AMENDMENT TO MASTER CUSTODIAN CONTRACT Amendment dated February 10, 2000, to the custody contract, dated May 1, 1997, as amended, by and between State Street Bank and Trust Company (the "Custodian") and...Master Custodian Contract • December 29th, 2003 • Phoenix Investment Trust 97
SECOND AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN EACH TRUST LISTED ON SCHEDULE B HERETO, ON BEHALF OF EACH RESPECTIVE SERIES OF EACH SUCH TRUST, SEVERALLY AND NOT JOINTLY, AS SET FORTH ON SCHEDULE B AND STATE STREET BANK AND...Securities Lending Authorization Agreement • June 7th, 2007 • Phoenix Equity Trust • Massachusetts
INITIAL CAPITAL AGREEMENTInitial Capital Agreement • November 3rd, 1997 • Phoenix Investment Trust 97
Phoenix Investment Trust 97 (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.
PHOENIX INVESTMENT TRUST 97 (the "Fund") CLASS A SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • November 3rd, 1997 • Phoenix Investment Trust 97
SECOND AMENDMENT TO SCHEDULE A of ADMINISTRATION AGREEMENTAdministration Agreement • December 21st, 2007 • Phoenix Investment Trust 97
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 15th, 1998 • Phoenix Investment Trust 97 • Massachusetts
PHOENIX EQUITY PLANNING CORPORATION Hartford, CT 06115-0480Sales Agreement • December 21st, 2007 • Phoenix Investment Trust 97 • 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 INVESTMENT TRUST 97 (the “Fund”) CLASS B SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • December 21st, 2007 • Phoenix Investment Trust 97
Exhibit g.3Master Custodian Contract • December 29th, 2003 • Phoenix Investment Trust 97
W I T N E S S E T H: - - - - - - - - - -Administration Agreement • June 7th, 2007 • Phoenix Equity Trust • Connecticut
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 • December 21st, 2007 • Phoenix Investment Trust 97
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 INVESTMENT TRUST 97 (the "Fund") CLASS C SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • November 3rd, 1997 • Phoenix Investment Trust 97
PHOENIX INVESTMENT TRUST 97 (the “Fund”) CLASS A SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Agreement • December 21st, 2007 • Phoenix Investment Trust 97
PHOENIX INVESTMENT TRUST 97 (the “Fund”) CLASS C SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Agreement • December 21st, 2007 • Phoenix Investment Trust 97
PHOENIX INVESTMENT TRUST 97 INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT, effective as of the 1st day of January, 2005 (the "Contract Date") by and between Phoenix Investment Trust 97, a Delaware business trust (the "Trust") Engemann Asset Management...Investment Advisory Agreement • April 28th, 2005 • Phoenix Investment Trust 97 • Delaware
SECOND AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN EACH TRUST LISTED ON SCHEDULE B HERETO, ON BEHALF OF EACH RESPECTIVE SERIES OF EACH SUCH TRUST, SEVERALLY AND NOT JOINTLY, AS SET FORTH ON SCHEDULE B AND STATE STREET BANK AND...Securities Lending Authorization Agreement • December 21st, 2007 • Phoenix Investment Trust 97 • Massachusetts
This Second Amendment (this “Amendment”) dated as of March 1, 2007 is between each of the Trusts Listed on Schedule B hereto (each, a “Trust”), on behalf of each respective series of each such Trust, severally and not jointly, as listed, respectively, on Schedule B (each such series, a “Fund”, and collectively, the “Funds”), and State Street Bank and Trust Company, a Massachusetts trust company, its affiliates or subsidiaries (collectively referred to herein as “State Street”).
FINANCIAL INSTITUTION SALES CONTRACT FOR THE PHOENIX FAMILY OF FUNDSSales Contract • May 15th, 1998 • Phoenix Investment Trust 97
Exhibit a Agreement and Declaration of TrustTrust Agreement • December 15th, 2000 • Phoenix Investment Trust 97 • Delaware
Exhibit 77Q1(e)(1) - Investment Advisory Agreement between Registrant And Phoenix Investment Counsel, Inc. on behalf of Phoenix Value Equity Fund dated October 1, 2005, filed via EDGAR with Post-Effective Amendment No. 20 (File No. 333-34537) on...Investment Advisory Agreement • April 26th, 2006 • Phoenix Investment Trust 97
Exhibit 77Q1(e)(1) - Investment Advisory Agreement between Registrant And Phoenix Investment Counsel, Inc. on behalf of Phoenix Value Equity Fund dated October 1, 2005, filed via EDGAR with Post-Effective Amendment No. 20 (File No. 333-34537) on December 28, 2005 and incorporated herein By reference.
Exhibit 77Q1(e) Subadvisory Agreement between Phoenix Investment Counsel, Inc. and Phoenix/Zweig Advisers LLC dated January 27, 2004 on behalf of the Phoenix Small Cap Value Fund filed via EDGAR with Post-Effective Amendment No. 19 (File No....Subadvisory Agreement • October 31st, 2005 • Phoenix Investment Trust 97
Exhibit 77Q1(e) Subadvisory Agreement between Phoenix Investment Counsel, Inc. and Phoenix/Zweig Advisers LLC dated January 27, 2004 on behalf of the Phoenix Small Cap Value Fund filed via EDGAR with Post-Effective Amendment No. 19 (File No. 333-34537) on December 30, 2004 and Incorporated herein by reference.
SUBADVISORY AGREEMENTSubadvisory Agreement • April 24th, 2007 • Phoenix Investment Trust 97 • Delaware
EXHIBIT 77Q1(a)(1) - Amended and Restated By-Laws of Registrant, dated November 16, 2005 filed via EDGAR herewith. EXHIBIT 77Q1(a)(2) - Amendment No. 1 to Amended and Restated By-Laws of Registrant, dated August 23, 2006 filed via EDGAR herewith....By-Laws and Investment Advisory Agreement • October 27th, 2006 • Phoenix Investment Trust 97
EXHIBIT 77Q1(e)(1) - Amendment to Investment Advisory Agreement between Phoenix Investment Counsel, Inc. and Registrant, dated June 28, 2006, On behalf of Phoenix Quality Small-Cap Fund and Phoenix Small-Cap Sustainable Growth Fund, filed via EDGAR with Post-Effective Amendment No. 22 (File No. 333-34537) on June 28, 2006 and incorporated herein by reference.
SECOND AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT PHOENIX INVESTMENT TRUST 97Expense Limitation Agreement • December 21st, 2007 • Phoenix Investment Trust 97 • 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 in two separate agreements each effective as of June 28, 2006 by and between Phoenix Investment Trust 97, 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”).
