Addendum to Amended and Restated Transfer Agency and Services Agreement Dated June 3, 2009 Between ALPS Fund Services, Inc. and Forward Funds
Exhibit (h)(2)(b)
Addendum to Amended and Restated Transfer Agency and Services Agreement
Dated June 3, 2009
Between
ALPS Fund Services, Inc.
and
THIS ADDENDUM is made as of June 26, 2009, by and between ALPS Fund Services, Inc. (“ALPS”), and Forward Funds (the “Fund”).
WHEREAS, ALPS and the Fund have entered into an Amended and Restated Transfer Agency and Services Agreement (the “Agreement”) dated June 3, 2009 and effective June 15, 2009;
WHEREAS, effective June 26, 2009, the Forward Mini-Cap Fund (“Mini-Cap Fund”) merged into the Forward Small Cap Equity Fund, each a series of the Fund;
WHEREAS, in light of the foregoing, ALPS and the Fund wish to modify the provisions of the Agreement to reflect the removal of the Mini-Cap Fund.
NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:
1. | Schedule A-1 – List of Portfolios. Schedule A-1 is replaced in its entirety with the attached Schedule I-A. |
2. | Remainder of the Agreement. All other provisions of the Agreement shall remain unchanged. |
IN WITNESS WHEREOF, this Addendum has been executed by a duly authorized representative of each of the parties hereto as of the date of the Addendum first set forth above.
ALPS Fund Services, Inc. | Forward Funds | |||||||
By: | By: | |||||||
Name: | Xxxxxx X. May | Name: | ||||||
Title: | President | Title: |
SCHEDULE A-1
To the Amended and Restated Transfer Agency and Service Agreement
Forward Series Portfolios and Classes List
As of June 26, 2009
Portfolio |
Open Classes of Shares | |
Forward Banking and Finance Fund | Class A Class C | |
Forward Emerging Markets Fund | Investor Class Institutional Class | |
Forward Global Infrastructure Fund | Institutional Class Class A Class B Class C | |
Forward Growth Fund | Institutional Class Class A Class C | |
Forward HITR Fund | 1 | |
Forward International Equity Fund | Investor Class Institutional Class | |
Forward International Fixed Income Fund | Investor Class Institutional Class Class C | |
Forward International Real Estate Fund | Institutional Class Class A Class B Class C | |
Forward International Small Companies Fund | Investor Class Institutional Class Class A | |
Forward Large Cap Equity Fund | Institutional Class Class A | |
Forward Legato Fund | Investor Class Institutional Class Class A | |
Forward Long/Short Credit Analysis Fund | Investor Class Institutional Class Class C | |
Forward Real Estate Fund | Investor Class Institutional Class Class A Class C |
1 | The Forward HITR Fund is not yet operational. Once operational, the open share classes will be added and the Fund will incur charges in accordance with Schedule B. |
Forward Select Income Fund | Institutional Class Class A Class B Class C | |
Forward Small Cap Equity Fund | Investor Class Institutional Class Class A | |
Forward Tactical Growth Fund | 2 | |
Forward Strategic Realty Fund | Institutional Class Class A Class B Class C |
2 | The Forward Tactical Growth Fund is not yet operational. Once operational, the open share classes will be added and the Fund will incur charges in accordance with Schedule B. |