Standard Contracts
OPTIMUM FUND TRUST DISTRIBUTION AGREEMENT Distribution Agreement (the "Agreement") made as of this 17th day of July, 2003 by and between OPTIMUM FUND TRUST, a Delaware statutory trust (the "Trust"), for the series identified on Schedule I attached...Distribution Agreement • July 23rd, 2003 • Optimum Fund Trust • Pennsylvania
Delaware Management Company 2005 Market Street Philadelphia, PA 19103 July 29, 2006 Optimum Fund Trust 2005 Market Street Philadelphia, PA 19103 Re: Expense Limitation Ladies and Gentlemen: By our execution of this letter agreement (the "Agreement"),...Expense Limitation Agreement • July 28th, 2006 • Optimum Fund Trust
By our execution of this letter agreement (the "Agreement"), intending to be legally bound hereby, Delaware Management Company, a series of Delaware Management Business Trust (the "Advisor"), agrees that in order to improve the performance of the Optimum Large Cap Growth Fund, Optimum Large Cap Value Fund, Optimum Small Cap Growth Fund, Optimum Small Cap Value Fund, Optimum International Fund and Optimum Fixed Income Fund (each, a "Fund," and together, the "Funds"), each of which is a series of the Optimum Fund Trust, the Advisor shall waive all or a portion of its investment advisory fees and/or reimburse expenses (excluding any Rule 12b-1 plan expenses, taxes, interest, brokerage fees, certain insurance costs and extraordinary expenses) in an aggregate amount equal to the amount by which the total operating expenses (excluding any 12b-1 plan expenses, taxes, interest, brokerage fees, certain insurance costs and extraordinary expenses) for the period July 29, 2006 through August 1 200
INVESTMENT MANAGEMENT AGREEMENT AGREEMENT, dated as of July 17, 2003, by and between OPTIMUM FUND TRUST (the "Trust") and DELAWARE MANAGEMENT COMPANY, a series of Delaware Management Business Trust (the "Investment Manager"). WHEREAS, the Trust is an...Investment Management Agreement • July 23rd, 2003 • Optimum Fund Trust • Delaware
Exhibit No. EX-99.d.3 SUB-ADVISORY AGREEMENT AGREEMENT made by and between DELAWARE MANAGEMENT COMPANY, a series of DELAWARE MANAGEMENT BUSINESS TRUST (the "Investment Manager") and ALLIANCE CAPITAL MANAGEMENT L.P. (the "Sub- Adviser"). WITNESSETH:...Sub-Advisory Agreement • July 28th, 2006 • Optimum Fund Trust
CONSULTING SERVICES AGREEMENT BETWEEN DELAWARE MANAGEMENT COMPANY AND LINSCO/PRIVATE LEDGER CORPORATIONConsulting Services Agreement • May 31st, 2005 • Optimum Fund Trust • Massachusetts
Exhibit No. EX-99.d.8 SUB-ADVISORY AGREEMENT AGREEMENT made by and between DELAWARE MANAGEMENT COMPANY, a series of DELAWARE MANAGEMENT BUSINESS TRUST (the "Investment Manager") and MASSACHUSETTS FINANCIAL SERVICES COMPANY (the "Sub-Adviser")....Sub-Advisory Agreement • July 28th, 2006 • Optimum Fund Trust
JPMORGAN CHASE BANK GLOBAL CUSTODY AGREEMENT AMENDMENT NO. 1 TO SCHEDULE A THIS AMENDMENT, dated July 17, 2003, amends the Schedule A of the Global Custody Agreement, dated May 1, 1996 as amended on July 1, 2001 ("Agreement"), between those registered...Global Custody Agreement • July 23rd, 2003 • Optimum Fund Trust
EX-99.g.1 Final Execution Version Optimum Funds MUTUAL FUND CUSTODY AND SERVICES AGREEMENT THIS AGREEMENT, effective as of the 20th day of July, 2007, and is by and between each investment company listed on Appendix D (referred to herein individually...Mutual Fund Custody and Services Agreement • May 30th, 2008 • Optimum Fund Trust • Pennsylvania
AMENDMENT NO. 1 TO SCHEDULE ASecurities Lending Agreement • July 23rd, 2003 • Optimum Fund Trust
THIS AMENDMENT, dated July 17, 2003, amends the Schedule A of the Securities Lending Agreement, dated December 22, 1998 as amended on October 1, 2002 ("Agreement"), between those registered investment companies listed on Schedule A to the Agreement (each a "Customer"), having a place of business at 2005 Market Street, Philadelphia, PA 19103, and JPMorgan Chase Bank ("Bank"), having a place of business at 270 Park Ave., New York, N.Y. 10017-2070.
EX-99.h.1 OPTIMUM FUND TRUST AMENDED AND RESTATED MUTUAL FUND SERVICES AGREEMENT AGREEMENT made as of December 15, 2007 by and between Optimum Fund Trust, a Delaware business trust having its principal office and place of business at 2005 Market...Mutual Fund Services Agreement • May 30th, 2008 • Optimum Fund Trust • Pennsylvania
FORM OF OPTIMUM FUND TRUST DEALER'S AGREEMENT -------------------Dealer's Agreement • July 31st, 2003 • Optimum Fund Trust
We are the national distributor for all of the shares of all of the Classes (now existing or hereafter added) of all of the Funds in the Optimum Fund Trust which retain us, Delaware Distributors, L.P., to act as exclusive national distributor. The term "Fund" as used in this Agreement refers to each Fund in the Optimum Fund Trust which retains us to promote and sell its shares, and any Fund which may hereafter be added to the Optimum Fund Trust to retain us as national distributor. The term "Class" as used in this Agreement refers to a class of shares of a Fund as described in the Fund's prospectus. You have indicated that you wish to act as agent for your customers in connection with the purchase, sale and redemption of Fund shares and/or desire to provide certain services to your customers relating to their ownership of Fund shares, all in accordance with the terms of this Agreement.
AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENTSecurities Lending Authorization Agreement • May 28th, 2010 • Optimum Fund Trust • New York
This AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT is made and effective as of the 22nd day of September, 2009 (the “Effective Date”), by and between each investment company listed on Schedule 1 attached hereto (referred to herein, individually, as a “Client” and, collectively, as the “Clients”) on behalf of one or more of its series funds listed below such investment company on Schedule 1 attached hereto (referred to herein, individually, as a “Fund” and, collectively, as the “Funds”) and THE BANK OF NEW YORK MELLON, successor by operation of law to Mellon Bank, N.A (the "Lending Agent").
OPTIMUM FUND TRUST DEALER'S AGREEMENT ---------------------------- We are the national distributor for all of the shares of all of the Classes (now existing or hereafter added) of all of the Funds in the Optimum Fund Trust which retain us, Delaware...Dealer's Agreement • July 29th, 2005 • Optimum Fund Trust
We are the national distributor for all of the shares of all of the Classes (now existing or hereafter added) of all of the Funds in the Optimum Fund Trust which retain us, Delaware Distributors, L.P., to act as exclusive national distributor. The term "Fund" as used in this Agreement refers to each Fund in the Optimum Fund Trust that retains us to promote and sell its shares, and any Fund that may hereafter be added to the Optimum Fund Trust to retain us as national distributor. The term "Class" as used in this Agreement refers to a class of shares of a Fund as described in the Fund's prospectus. You, a broker/dealer ("you"), have indicated that you wish to act as agent for your customers (the "customer(s)") in connection with the purchase, sale and redemption of Fund shares and/or desire to provide certain services to your customers relating to their ownership of Fund shares, all in accordance with the terms of this Agreement.
OPTIMUM FUND TRUST DEALER'S AGREEMENTDealer's Agreement • July 26th, 2018 • Optimum Fund Trust
We are the national distributor for all of the shares of all of the Classes (now existing or hereafter added) of all of the Funds in the Optimum Fund Trust which retain us, Delaware Distributors, L.P., to act as exclusive national distributor. The term “Fund” as used in this Agreement refers to each Fund in the Optimum Fund Trust that retains us to promote and sell its shares, and any Fund that may hereafter be added to the Optimum Fund Trust to retain us as national distributor. The term “Class” as used in this Agreement refers to a class of shares of a Fund as described in the Fund’s prospectus. You, a broker/dealer (“you”), have indicated that you wish to act as agent for your customers (the “customer(s)”) in connection with the purchase, sale and redemption of Fund shares and/or desire to provide certain services to your customers relating to their ownership of Fund shares, all in accordance with the terms of this Agreement.
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • July 29th, 2010 • Optimum Fund Trust
AGREEMENT made by and between DELAWARE MANAGEMENT COMPANY, a series of DELAWARE MANAGEMENT BUSINESS TRUST (the “Investment Manager”) and [NAME OF SUB-ADVISER] (the “Sub-Adviser”).
EX-99.g.2 Final Execution Version Optimum Funds SECURITIES LENDING AUTHORIZATION This Agreement (this "Agreement") made as of the 20th day of July, 2007, by and between each investment company listed on Schedule 1 attached hereto (referred to herein,...Securities Lending Authorization • May 30th, 2008 • Optimum Fund Trust • Pennsylvania
Execution Copy Optimum Funds FUND ACCOUNTING AND FINANCIAL ADMINISTRATION SERVICES AGREEMENT THIS AGREEMENT is made as of the 1st day of October, 2007 (the "Effective Date") by and between MELLON BANK, N.A. (referred to herein as "Mellon"), a national...Fund Accounting and Financial Administration Services Agreement • May 30th, 2008 • Optimum Fund Trust • Pennsylvania
EX-99.h.3 FUND ACCOUNTING AND FINANCIAL ADMINISTRATION OVERSIGHT AGREEMENT THIS AGREEMENT is made as of the 1st day of October, 2007, (the "Effective Date") by and between Optimum Fund Trust (the "Fund"), on behalf of each of its series as listed on...Fund Accounting and Financial Administration Oversight Agreement • May 30th, 2008 • Optimum Fund Trust • Pennsylvania
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF OPTIMUM FUND TRUST, A DELAWARE STATUTORY TRUSTAgreement and Declaration of Trust • July 2nd, 2003 • Optimum Fund Trust
FINANCIAL INTERMEDIARY AGREEMENT Financial Intermediary Agreement (the "Agreement") made as of this 17th day of July, 2003 by and between DELAWARE DISTRIBUTORS, L.P. ("DDLP"), Delaware limited partnership, and LINCOLN FINANCIAL DISTRIBUTORS, INC....Financial Intermediary Agreement • July 23rd, 2003 • Optimum Fund Trust • Pennsylvania
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF OPTIMUM FUND TRUST, A DELAWARE STATUTORY TRUSTAgreement and Declaration of Trust • July 23rd, 2003 • Optimum Fund Trust
OPTIMUM FUND TRUST DISTRIBUTION AGREEMENTDistribution Agreement • July 29th, 2013 • Optimum Fund Trust • Pennsylvania
Distribution Agreement (the "Agreement") made as of this 4th day of January, 2010 by and between OPTIMUM FUND TRUST, a Delaware statutory trust (the "Trust"), for the series identified on Schedule I attached hereto, as from time to time amended (the "Series"), and DELAWARE DISTRIBUTORS, L.P. (the "Distributor"), a Delaware limited partnership.
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF OPTIMUM FUND TRUST, a Delaware Statutory Trust AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST made and entered into as of December 6, 2005 by the Trustees named hereunder. WHEREAS,...Agreement and Declaration of Trust • November 30th, 2007 • Optimum Fund Trust
ASSIGNMENT AND ASSUMPTION AGREEMENTAssignment and Assumption Agreement • July 29th, 2015 • Optimum Fund Trust • Delaware
This Assignment and Assumption Agreement (“Agreement”) dated as of November 1, 2014 is entered into by and between Delaware Service Company, Inc., a Delaware corporation (“Assignor”), and Delaware Investments Fund Services Company, a Delaware statutory trust (“Assignee”).
AMENDMENT NO. 1 TO AMENDED AND RESTATED FUND ACCOUNTING AND FINANCIAL ADMINISTRATION SERVICES AGREEMENTFund Accounting and Financial Administration Services Agreement • July 26th, 2018 • Optimum Fund Trust • Pennsylvania
This Amendment (“Amendment”) is made as of the 1st day of July, 2017, by and between each investment company listed on Schedule A (referred to herein, individually, as a “Fund” and collectively, as the “Funds”) and THE BANK OF NEW YORK MELLON (referred to herein as “BNYM”).
Delaware Management Company 2005 Market Street Philadelphia, PA 19103Expense Limitation Agreement • July 27th, 2012 • Optimum Fund Trust
By our execution of this letter agreement (the “Agreement”), intending to be legally bound hereby, Delaware Management Company, a series of Delaware Management Business Trust (the “Manager”), agrees that in order to improve the performance of each series of Optimum Fund Trust (collectively, the “Funds”), the Manager shall waive all or a portion of its investment advisory fees and/or reimburse expenses (excluding any 12b-1 plan expenses, taxes, interest, brokerage fees, short-sale dividend and interest expenses, certain insurance costs, and non-routine expenses or costs, including, but not limited to, those relating to reorganizations, litigation, conducting shareholder meetings, and liquidations (collectively, the “Excluded Expenses”)) in an aggregate amount equal to the amount by which a Fund’s total operating expenses (excluding any Excluded Expenses) exceed the percentages set forth below for the period July 27, 2012 through July 29, 2013 For purposes of this Agreement, non-routine
TO MUTUAL FUND SERVICES AGREEMENTMutual Fund Services Agreement • July 27th, 2007 • Optimum Fund Trust
The Mutual Fund Services Agreement dated July 17, 2003 between OPTIMUM FUND TRUST and DELAWARE SERVICE COMPANY, INC. shall apply to the following series:
Delaware Management Company 2005 Market Street Philadelphia, PA 19103Expense Limitation Agreement • July 29th, 2020 • Optimum Fund Trust
By our execution of this letter agreement (the “Agreement”), intending to be legally bound hereby, Delaware Management Company, a series of Macquarie Investment Management Business Trust (the “Manager”), agrees that in order to improve the performance of the series of Optimum Fund Trust set forth below (each a “Fund”), the Manager shall waive all or a portion of its investment advisory fees and/or pay/reimburse expenses (excluding any 12b-1 fees, acquired fund fees and expenses, taxes, interest, short sale dividend and interest expenses, brokerage fees, certain insurance costs, and nonroutine expenses or costs, including, but not limited to, those relating to reorganizations, litigation, conducting shareholder meetings, and liquidations (collectively, the “Excluded Expenses”)) in an aggregate amount equal to the amount by which a Fund’s total annual fund operating expenses (excluding any Excluded Expenses) exceed the percentages set forth below for the period from July 29, 2020 through
Delaware Management Company 2005 Market Street Philadelphia, PA 19103Expense Limitation Agreement • July 27th, 2007 • Optimum Fund Trust
By our execution of this letter agreement (the “Agreement”), intending to be legally bound hereby, Delaware Management Company, a series of Delaware Management Business Trust (the “Advisor”), agrees that in order to improve the performance of the Optimum Large Cap Growth Fund, Optimum Large Cap Value Fund, Optimum Small Cap Growth Fund, Optimum Small Cap Value Fund, Optimum International Fund and Optimum Fixed Income Fund (each, a “Fund,” and together, the “Funds”), each of which is a series of the Optimum Fund Trust, the Advisor shall waive all or a portion of its investment advisory fees and/or reimburse expenses (excluding any Rule 12b-1 plan expenses, taxes, interest, brokerage fees, certain insurance costs and extraordinary expenses) in an aggregate amount equal to the amount by which the total operating expenses (excluding any 12b-1 plan expenses, taxes, interest, brokerage fees, certain insurance costs and extraordinary expenses) for the period August 1, 2007 through August 1 20
AMENDMENT NO. 2 TO SCHEDULE I TO THE DISTRIBUTION AGREEMENT AS OF NOVEMBER 4, 2014Distribution Agreement • July 29th, 2015 • Optimum Fund Trust
This Schedule to the Distribution Agreement between Optimum Fund Trust and Delaware Distributors, L.P. entered into as of January 4, 2010 (the “Agreement”) lists the Series and Classes for which Delaware Distributors, L.P. provides distribution services pursuant to this Agreement, along with the 12b-1 Plan rates, if applicable, for each class and the date on which the Agreement became effective for each Series.
Delaware Management Company 100 Independence, 610 Market Street Philadelphia, PA 19106-2354Expense Limitation Agreement • July 29th, 2021 • Optimum Fund Trust
By our execution of this letter agreement (the “Agreement”), intending to be legally bound hereby, Delaware Management Company, a series of Macquarie Investment Management Business Trust (the “Manager”), agrees that in order to improve the performance of the series of Optimum Fund Trust set forth below (each a “Fund”), the Manager shall waive all or a portion of its investment advisory fees and/or pay/reimburse expenses (excluding any 12b-1 fees, acquired fund fees and expenses, taxes, interest, short sale dividend and interest expenses, brokerage fees, certain insurance costs, and nonroutine expenses or costs, including, but not limited to, those relating to reorganizations, litigation, conducting shareholder meetings, and liquidations (collectively, the “Excluded Expenses”)) in an aggregate amount equal to the amount by which a Fund’s total annual fund operating expenses (excluding any Excluded Expenses) exceed the percentages set forth below for the period from July 29, 2021 through
AMENDMENT NO. 2 TO SECURITIES LENDING AUTHORIZATION AGREEMENTSecurities Lending Authorization Agreement • May 28th, 2010 • Optimum Fund Trust
This AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT is made and effective as of the 1st day of January, 2010 (the “Effective Date”), by and between each investment company listed on Schedule 1 attached hereto (referred to herein, individually, as a “Client” and, collectively, as the “Clients”) on behalf of one or more of its series funds listed below such investment company on Schedule 1 attached hereto (referred to herein, individually, as a “Fund” and, collectively, as the “Funds”) and THE BANK OF NEW YORK MELLON, successor by operation of law to Mellon Bank, N.A (the "Lending Agent").
AMENDMENT NO. 1 TO AMENDED AND RESTATED MUTUAL FUND SERVICES AGREEMENTMutual Fund Services Agreement • July 29th, 2011 • Optimum Fund Trust
This Amendment No. 1 (the “Amendment”) to the Amended and Restated Mutual Fund Services Agreement is made and effective as of July 18, 2011 by and between Optimum Fund Trust (the “Investment Company”) on behalf of the series (individually referred to herein as a “Fund” and, collectively, as the “Funds”) of the Investment Company and Delaware Service Company, Inc. (the “Company”).
Delaware Distributors, L.P. 2005 Market Street Philadelphia, PA 19103Expense Limitation Agreement • July 29th, 2014 • Optimum Fund Trust
By our execution of this letter agreement (the “Agreement”), intending to be legally bound hereby, Delaware Distributors, L.P. (the “Distributor”) agrees that in order to improve the performance of the Class B Shares of the Optimum Fixed Income Fund, Optimum International Fund, Optimum Large Cap Growth Fund, Optimum Large Cap Value Fund, Optimum Small-Mid Cap Growth Fund, and Optimum Small-Mid Cap Value Fund (each a “Fund”), which are each a series of Optimum Fund Trust, the Distributor shall waive a portion of the Rule 12b-1 (distribution) fees for the Fund’s Class B Shares, so that shares’ Rule 12b-1 (distribution) fees will not exceed 0.25% of each Fund’s average daily net assets for the period from July 29, 2014 through July 29, 2015.
Delaware Management Company 2005 Market Street Philadelphia, PA 19103Expense Limitations Agreement • July 28th, 2017 • Optimum Fund Trust
By our execution of this letter agreement (the “Agreement”), intending to be legally bound hereby, Delaware Management Company, a series of Macquarie Investment Management Business Trust (the “Manager”), agrees that in order to improve the performance of the series of Optimum Fund Trust set forth below (each a “Fund”), the Manager shall waive all or a portion of its investment advisory fees and/or pay/reimburse expenses (excluding any 12b-1 fees, acquired fund fees and expenses, taxes, interest, short sale dividend and interest expenses, brokerage fees, certain insurance costs, and nonroutine expenses or costs, including, but not limited to, those relating to reorganizations, litigation, conducting shareholder meetings, and liquidations (collectively, the “Excluded Expenses”)) in an aggregate amount equal to the amount by which a Fund’s total annual fund operating expenses (excluding any Excluded Expenses) exceed the percentages set forth below for the period from July 29, 2017 through
