EXHIBIT d.1Investment Advisory Agreement • February 27th, 2004 • Phoenix Series Fund • Connecticut
EXHIBIT h.9 SECOND AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENT SECOND AMENDMENT TO THE TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • February 13th, 2006 • Phoenix 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 5Investment Advisory Agreement • February 27th, 1997 • Phoenix Series Fund • Massachusetts
DISTRIBUTION AGREEMENT CLASS B SHARESDistribution Agreement • February 27th, 1997 • Phoenix Series Fund • Massachusetts
EXHIBIT 8.3Custodian Agreement • February 27th, 1997 • Phoenix Series Fund
PHOENIX SERIES FUND SUBADVISORY AGREEMENT PHOENIX SERIES FUND SUBADVISORY AGREEMENT ---------------------Subadvisory Agreement • September 22nd, 2006 • Phoenix Series Fund • Delaware
EXHIBIT d.2 FIRST AMENDMENT TO AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT FIRST AMENDMENT TO AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 13th, 2006 • Phoenix Series Fund
Exhibit 1.1Declaration of Trust • February 27th, 1997 • Phoenix Series Fund • Massachusetts
WITNESSETH:Deferred Compensation Agreement • April 4th, 2005 • Phoenix Series Fund
PHOENIX EQUITY PLANNING CORPORATION 100 Bright Meadow Blvd. P.O. Box 2200 Enfield, Connecticut 06083-2200Sales Agreement • December 29th, 1997 • Phoenix Series Fund • Connecticut
Exhibit a.2 Amendment to Agreement and Declaration of TrustAmendment to Agreement and Declaration of Trust • February 26th, 2007 • Phoenix Series Fund
FOURTH AMENDMENT TO AMENDED AND RESTATED FINANCIAL AGENT AGREEMENTFinancial Agent Agreement • February 25th, 2005 • Phoenix Series Fund
EXHIBIT 9.1Transfer Agency and Service Agreement • February 27th, 1997 • Phoenix Series Fund • Connecticut
UNDERWRITING AGREEMENT THIS AGREEMENT made as of this 19th day of November, 1997, by and between Phoenix Series Fund, a Massachusetts business trust having a place of business located at 101 Munson Street, Greenfield, Massachusetts (the "Fund") and...Underwriting Agreement • December 29th, 1997 • Phoenix Series Fund • Connecticut
PHOENIX SERIES FUND Phoenix Balanced Fund Phoenix Core Bond Fund Phoenix Money Market Fund SUBADVISORY AGREEMENTSubadvisory Agreement • September 11th, 2007 • Phoenix Series Fund • Delaware
Phoenix Series Fund (the “Fund”) is a diversified open-end investment company of the series type registered under the Investment Company Act of 1940 (the “Act”), 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 the Phoenix Balanced Fund, Phoenix Core Bond Fund and Phoenix Money Market Fund (collectively, sometimes hereafter referred to as the “Series”).
FIRST 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 TRUST...Securities Lending Authorization Agreement • September 22nd, 2006 • Phoenix Series Fund • Massachusetts
Exhibit 15.2 Class B Amended and Restated Distribution Plan PHOENIX 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 • December 29th, 1997 • Phoenix Series Fund
AMENDMENT TO SCHEDULE A of ADMINISTRATION AGREEMENTAdministration Agreement • September 11th, 2007 • Phoenix Series Fund
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.
Exhibit 9.3 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 • December 29th, 1997 • Phoenix Series Fund • Massachusetts
SECOND AMENDMENT TO AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • December 27th, 2007 • Phoenix Series Fund
PHOENIX EQUITY PLANNING CORPORATION Hartford, CT 06115-0480Sales Agreement • September 11th, 2007 • Phoenix 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”.
FOURTH AMENDMENT TO SCHEDULE A of ADMINISTRATION AGREEMENTAdministration Agreement • February 28th, 2008 • Phoenix Series Fund
THIS AMENDMENT made effective as of the 31st day of January, 2008 amends that certain administration agreement, dated as of July 1, 2006, as amended November 15, 2007 and whose Schedule A was amended on June 27, 2007, September 24, 2007 and October 1, 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.
PHOENIX 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 11th, 2007 • Phoenix Series Fund
PHOENIX SERIES FUND (the "Fund") CLASS M SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • December 29th, 1997 • Phoenix Series Fund
PHOENIX SERIES FUND Phoenix Balanced Fund Phoenix Core Bond Fund Phoenix Money Market Fund SUBADVISORY AGREEMENT March 1, 2007 Goodwin Capital Advisers, Inc. 56 Prospect Street Hartford, CT 06115 RE: Subadvisory Agreement Ladies and Gentlemen: Phoenix...Subadvisory Agreement • June 29th, 2007 • Phoenix Series Fund • Delaware
PHOENIX SERIES FUND (the “Fund”) CLASS C SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • September 11th, 2007 • Phoenix Series Fund
PHOENIX 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 11th, 2007 • Phoenix Series Fund
SECOND AMENDMENT TO SCHEDULE A of ADMINISTRATION AGREEMENTAdministration Agreement • February 28th, 2008 • Phoenix 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.
FIRST AMENDMENT to ADMINISTRATION AGREEMENTAdministration Agreement • February 28th, 2008 • Phoenix Series Fund
THIS AMENDMENT made effective as of the 15th day of November, 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.
EXHIBIT 9.2Financial Agent Agreement • February 27th, 1997 • Phoenix Series Fund • 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 • February 28th, 2008 • Phoenix 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.
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 • September 11th, 2007 • Phoenix Series Fund • 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”).
Exhibit a Agreement And Declaration Of Trust of Phoenix Series FundTrust Agreement • November 30th, 2000 • Phoenix Series Fund • Delaware
Exhibit 77Q1 (a) - Amendment to the Declaration of Trust of the Registrant, dated November 16, 2006, filed via EDGAR with Post Effective Amendment No. 103 (File No. 811-810) on February 26, 2007 and incorporated herein by reference. Exhibit 77Q1(e) -...Amendment to the Declaration of Trust • June 29th, 2007 • Phoenix Series Fund
Exhibit 77Q1 (a) - Amendment to the Declaration of Trust of the Registrant, dated November 16, 2006, filed via EDGAR with Post Effective Amendment No. 103 (File No. 811-810) on February 26, 2007 and incorporated herein by reference.
Subadvisory Agreement between Phoenix Investment Counsel, Inc. and Engemann Asset Management dated January 1, 2005, Incorporated by reference to Pre- Effective Amendment No. 1 to the Registrant's Registration Statement on Form N-14 filed with the SEC...Subadvisory Agreement • June 29th, 2005 • Phoenix Series Fund
Subadvisory Agreement between Phoenix Investment Counsel, Inc. and Engemann Asset Management dated January 1, 2005, Incorporated by reference to Pre-Effective Amendment No. 1 to the Registrant's Registration Statement on Form N-14 filed with the SEC on April 14, 2005 (Pre-Effective Amendment No. 1)
