DISTRIBUTION AGREEMENTDistribution Agreement • February 1st, 2010 • Hennessy SPARX Funds Trust • Wisconsin
THIS AGREEMENT is made and entered into as of this 8th day of October, 2009, by and between HENNESSY SPARX FUNDS TRUST, a Massachusetts business trust (the “Trust”) and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”). HENNESSY ADVISORS, INC., the investment advisor to the Trust (the “Advisor”), is a party hereto with respect to Section 5 only.
CUSTODY AGREEMENTCustody Agreement • February 1st, 2010 • Hennessy SPARX Funds Trust • Ohio
THIS AGREEMENT is made and entered into as of the 18th day of September, 2009, by and between HENNESSY SPARX FUNDS TRUST, a Massachusetts business trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
AMENDED AND RESTATED BY-LAWS OF SPARX FUNDS TRUSTBy-Laws • February 28th, 2006 • Sparx Funds Trust
FUND ADMINISTRATION SERVICING AGREEMENTFund Administration Servicing Agreement • February 1st, 2010 • Hennessy SPARX Funds Trust • Wisconsin
THIS AGREEMENT is made and entered into as of this 8th day of October, 2009, by and between HENNESSY SPARX FUNDS TRUST, a Massachusetts business trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
CUSTODIAN SERVICES AGREEMENTCustodian Services Agreement • July 25th, 2007 • Sparx Funds Trust
THIS AGREEMENT is made as of July 31, 2007 by and between PFPC TRUST COMPANY, a limited purpose trust company incorporated under the laws of Delaware ("PFPC Trust") and SPARX ASIA FUNDS, a Massachusetts business trust (the "Fund").
SPARX Funds Trust (formerly, known as SSL-1995-8) Amended and Restated Agreement and Declaration of TrustAgreement and Declaration of Trust • August 26th, 2003 • Sparx Funds Trust • Massachusetts
THIS AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST, made as of the 21st day of August, 2003 by the Trustee hereunder (hereinafter with any additional and successor trustees referred to as the "Trustees") and by the holders of Shares (as defined herein) of beneficial interest to be issued hereunder as hereinafter provided, hereby amends and restates in its entirety the Agreement and Declaration of Trust dated July 24, 1995 made at Boston, Massachusetts.
DISTRIBUTION AGREEMENTDistribution Agreement • October 15th, 2003 • Sparx Funds Trust • Wisconsin
THIS AGREEMENT is made as of this 1st day of November, 2003, by and between SPARX Funds Trust, a Massachusetts business trust (the “Trust”), and UMB Distribution Services, LLC, a Wisconsin limited liability company (the “Distributor”).
SUB-ADVISORY AGREEMENTSub-Advisory Agreement • November 23rd, 2009 • Hennessy SPARX Funds Trust • California
THIS SUB-ADVISORY AGREEMENT (this “Agreement”) is made and entered into effective as of September 18, 2009, by and between Hennessy Advisors, Inc., a California corporation (“Manager”), and SPARX Asset Management Co., Ltd., a corporation organized under the laws of Japan (“Sub-Adviser”).
RULE 17f-5 DELEGATION AGREEMENTDelegation Agreement • October 31st, 2003 • Sparx Funds Trust • Missouri
By its execution of this Delegation Agreement by and between UMB Bank, n.a. (the Custodian), a national banking association, with its principal office in Kansas City, Missouri, and each of the registered investment companies (on behalf of any series thereof, if applicable) listed on the Appendix to this Agreement, together with such additional companies as shall be made parties to this Agreement by the execution of a revised Appendix to this Agreement (such companies, and any series thereof, are referred to individually as a “Fund” and, collectively, as the “Funds”), the Funds hereby direct the Custodian to appoint Citibank, N.A., a National Banking Association under the laws of the United States of America, as the Approved Foreign Custody Manager (the Delegate) under the terms of the Custody Agreement between the Funds and the Custodian to perform certain functions with respect to the custody of the Funds’ Assets (as defined in Section 13 of this Delegation Agreement) outside the Unit
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • November 23rd, 2009 • Hennessy SPARX Funds Trust
THIS INVESTMENT ADVISORY AGREEMENT (this “Agreement”) is made this 18th day of September, 2009 between Hennessy SPARX Funds Trust, a Massachusetts business trust (the “Trust”), on behalf of each of its investment series set forth on Schedule A hereto as it may be amended from time to time (hereinafter referred to each as a “Fund” and together as the “Funds”), and Hennessy Advisors, Inc., a California corporation (the “Adviser”).
TRANSFER AGENCY SERVICES AGREEMENTTransfer Agency Services Agreement • July 25th, 2007 • Sparx Funds Trust
THIS AGREEMENT is made as of July 31, 2007 by and between PFPC INC., a Massachusetts corporation ("PFPC"), and SPARX ASIA FUNDS, a Massachusetts business trust (the "Fund").
SUB-INVESTMENT ADVISORY AGREEMENT SPARX INVESTMENT & RESEARCH, USA, INC. 360 Madison Avenue New York, New York 10017Sub-Investment Advisory Agreement • August 10th, 2007 • Sparx Asia Funds • New York
As you are aware, SPARX Asia Funds (the "Trust") desires to employ the capital of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each such series, the "Fund"), by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the Trust's Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Trust's Board of Trustees (the "Board"). The Trust employs SPARX Investment & Research, USA, Inc. (the "Adviser") to act as its investment adviser pursuant to a written agreement (the "Advisory Agreement"), a copy of which has been furnished to you. The Adviser desires to employ you to act as the Fund's sub-investment adviser.
TRANSFER AGENT SERVICING AGREEMENTTransfer Agent Servicing Agreement • February 1st, 2010 • Hennessy SPARX Funds Trust • Wisconsin
THIS AGREEMENT is made and entered into as of this 8th day of October, 2009, by and between HENNESSY SPARX FUNDS TRUST, a Massachusetts business trust (the "Trust") and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company ("USBFS").
JOINT FIDELITY BOND AGREEMENTJoint Fidelity Bond Agreement • September 1st, 2011 • Hennessy SPARX Funds Trust
AGREEMENT, made this day of May, 2011, by and between the parties as set forth in Schedule I, attached hereto and incorporated by reference of The Hennessy Funds, Inc. and its two series, the Hennessy Balanced Fund and the Hennessy Total Return Fund and The Hennessy Mutual Funds, Inc. and its three series, the Hennessy Cornerstone Growth Fund, the Hennessy Cornerstone Value Fund, and the Hennessy Focus 30 Fund, and the Hennessy Funds Trust and its three series, the Hennessy Cornerstone Growth Fund, Series II, Hennessy Cornerstone Large Growth Fund and Hennessy Select Large Value Fund and the Hennessy SPARX Funds Trust and its two series, the Hennessy Select SPARX Japan Fund and the Hennessy Select SPARX Japan Smaller Companies Fund.
INVESTMENT ADVISORY AGREEMENT SPARX ASIA FUNDS 360 Madison Avenue New York, New York 10017Investment Advisory Agreement • August 10th, 2007 • Sparx Asia Funds
The above-named investment company (the "Trust") consisting of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a "Fund"), herewith confirms its agreement with you as follows:
AMENDMENT TO CUSTODY AGREEMENTCustody Agreement • October 31st, 2003 • Sparx Funds Trust
AMENDMENT, dated as of ____________, 2003, to the Custody Agreement dated ________, ______ ("Agreement"), by and between UMB Bank, n. a. ("Custodian"), having a place of business at 928 Grand Blvd., 10th Floor, Kansas City, Missouri 64106 and each of the registered investment companies (on behalf of any series thereof, if applicable) listed on Appendix B to the Agreement, together with such additional companies as shall be made parties to the Agreement by the execution of a revised Appendix B to the Agreement (such companies are referred to individually as a "Fund" and, collectively, as the "Funds").
TRANSFER AGENCY AGREEMENTTransfer Agency Agreement • October 31st, 2003 • Sparx Funds Trust • Wisconsin
THIS TRANSFER AGENCY AGREEMENT is made as of this __ day of ____, 2003, by and between SPARX Funds Trust, a Massachusetts business trust (the “Trust”), and UMB Fund Services, Inc., a Wisconsin corporation, its successors and assigns (“UMBFS”).
FUND ACCOUNTING SERVICING AGREEMENTFund Accounting Servicing Agreement • February 1st, 2010 • Hennessy SPARX Funds Trust • Wisconsin
THIS AGREEMENT is made and entered into as of this 8th day of October, 2009, by and between HENNESSY SPARX FUNDS TRUST, a Massachusetts business trust (the “Trust”) and U.S. BANCORP FUND SERVICES, LLC, a Wisconsin limited liability company (“USBFS”).
ADMINISTRATION AND FUND ACCOUNTING AGREEMENTAdministration and Fund Accounting Agreement • October 31st, 2003 • Sparx Funds Trust • Wisconsin
THIS AGREEMENT is made as of this ___ day of ____________, 2003, by and between SPARX Funds Trust, a Massachusetts business trust (the "Trust"), and UMB Fund Services, Inc., a Wisconsin corporation (the "Administrator").
SUB-INVESTMENT ADVISORY AGREEMENT PMA CAPITAL MANAGEMENT LIMITED Harbour Place 103 South Church Street Grand Cayman Cayman IslandsSub-Investment Advisory Agreement • August 10th, 2007 • Sparx Asia Funds • New York
As you are aware, SPARX Asia Funds (the "Trust") desires to employ the capital of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each such series, the "Fund"), by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the Trust's Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Trust's Board of Trustees (the "Board"). The Trust employs SPARX Investment & Research, USA, Inc. (the "Adviser") to act as its investment adviser pursuant to a written agreement (the "Advisory Agreement"), and the Adviser employs PMA Capital Management Limited ("PMACM") to act as the Fund's sub-investment adviser pursuant to a written agreement (the "PMACM Sub-Investment Advisory Agreement"). A copy of the Advisory Agreement and the PMACM Sub-
INVESTMENT ADVISORY AGREEMENT SPARX FUNDS TRUST 360 Madison Avenue New York, New York 10017Investment Advisory Agreement • October 15th, 2003 • Sparx Funds Trust
The above-named investment company (the "Trust") consisting of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a "Fund"), herewith confirms its agreement with you as follows:
July __, 2007Subcustodial Services Agreement • July 25th, 2007 • Sparx Funds Trust
Reference is made to the Subcustodial Services Agreement dated as of January 10, 1996 (the “Foreign Custody Agreement”), as amended, by and between Citibank, N.A. (“Custodian”), Citicorp and PFPC Trust Company (“PFPC”) with respect to the custody of assets by Custodian for the account of PFPC on behalf of certain customers of PFPC, including those SPARX Asia Funds portfolios as are set forth on Exhibit A hereto (each a “Fund” and collectively the “Funds”). Reference is also made to the custodian services agreement dated as of July __, 2007 (the “Fund Custody Agreement”) by and between PFPC and SPARX Asia Funds.
CLEARSKYSM STATE FILING SERVICES AGREEMENTState Filing Services Agreement • July 25th, 2007 • Sparx Funds Trust • Delaware
JOINT FIDELITY BOND AGREEMENTJoint Fidelity Bond Agreement • January 8th, 2013 • Hennessy SPARX Funds Trust
AGREEMENT, made this 7th day of January, 2013, by and between the parties as set forth in Schedule I, attached hereto and incorporated by reference of The Hennessy Funds, Inc. and its two series, the Hennessy Balanced Fund and the Hennessy Total Return Fund and The Hennessy Mutual Funds, Inc. and its three series, the Hennessy Cornerstone Growth Fund, the Hennessy Cornerstone Value Fund, and the Hennessy Cornerstone Mid Cap 30 Fund, and the Hennessy Funds Trust and its nine series, the Hennessy Cornerstone Large Growth Fund, Hennessy Large Value Fund, Hennessy Focus Fund, Hennessy Gas Utility Index Fund, Hennessy Small Cap Financial Fund, Hennessy Large Cap Financial Fund, Hennessy Technology Fund, Hennessy Equity and Income Fund and Hennessy Core Bond Fund, and the Hennessy SPARX Funds Trust and its two series, the Hennessy Japan Fund and the Hennessy Japan Small Cap Fund.
AMENDMENT TO THE AGREEMENT AND DECLARATION OF TRUST OF SPARX FUNDS TRUSTAgreement and Declaration of Trust • July 25th, 2007 • Sparx Funds Trust
WHEREAS, Section 1 of Article I of the Agreement and Declaration of Trust (the "Declaration of Trust"), dated July 24, 1995, of SPARX Funds Trust (the "Trust"), as amended on August 21, 2003, copies of which are on file in the Office of the Secretary of the Commonwealth of Massachusetts, authorizes the Trustees of the Trust to amend the Declaration of Trust to change the name of the Trust without authorization by vote of the Shareholders of the Trust.
ADMINISTRATION AND ACCOUNTING SERVICES AGREEMENTAdministration and Accounting Services Agreement • July 25th, 2007 • Sparx Funds Trust
THIS AGREEMENT is made as of July 31, 2007 by and between PFPC Inc., a Massachusetts corporation ("PFPC"), and SPARX ASIA FUNDS, a Massachusetts business trust (the "Fund").
UNDERWRITING AGREEMENTUnderwriting Agreement • July 25th, 2007 • Sparx Funds Trust
THIS AGREEMENT is made as of July 31, 2007 by and between PROFESSIONAL FUNDS DISTRIBUTOR, LLC a Delaware Limited Liability Company ("Professional Funds Distributor"), and SPARX Asia Funds, a Massachusetts Business Trust (the "Fund").
INVESTMENT ADVISORY AGREEMENT SPARX FUNDS TRUST 360 Madison Avenue New York, New York 10017Investment Advisory Agreement • February 28th, 2006 • Sparx Funds Trust
The above-named investment company (the “Trust”) consisting of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a “Fund”), herewith confirms its agreement with you as follows:
CUSTODY AGREEMENT Dated ______________, 2003 Between UMB BANK, N.A. and SPARX FUNDS TRUSTCustody Agreement • October 31st, 2003 • Sparx Funds Trust
SUB-INVESTMENT ADVISORY AGREEMENT SPARX INVESTMENT & RESEARCH, USA, INC. 360 Madison Avenue New York, New York 10017Sub-Investment Advisory Agreement • February 28th, 2006 • Sparx Funds Trust • New York
As you are aware, SPARX Funds Trust (the “Trust”) desires to employ the capital of the series named on Schedule 1 hereto, as such Schedule may be revised from time to time (each, a “Fund”), by investing and reinvesting the same in investments of the type and in accordance with the limitations specified in the Fund’s Prospectus and Statement of Additional Information as from time to time in effect, copies of which have been or will be submitted to you, and in such manner and to such extent as from time to time may be approved by the Trust’s Board of Trustees (the “Board”). The Trust employs SPARX Investment & Research, USA, Inc. (the “Adviser”) to act as its investment adviser pursuant to a written agreement (the “Advisory Agreement”), a copy of which has been furnished to you. The Adviser desires to employ you to act as each Fund’s sub-investment adviser.
