Exhibit (h)(3)(b) Amendment to Amended and Restated Transfer Agent Interactive Client Service Agreement Dated June 3, 2009 Between ALPS Fund Services, Inc. and Forward Funds
Exhibit (h)(3)(b)
Amendment to Amended and Restated Transfer Agent Interactive Client Service
Agreement
Dated June 3, 2009
Between
ALPS Fund Services, Inc.
and
THIS AMENDMENT is made as of May 1, 2011, 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 Agent Interactive Client Service Agreement (the “Agreement”) dated June 3, 2009 and effective June 15, 2009;
WHEREAS, the Board of Trustees of the Fund approved on December 14, 2010, the Forward Select EM Dividend Fund, a new series of the Fund, effective May 1, 2011;
WHEREAS, the Board of Trustees of the Fund approved on December 14, 2010, the name change of the Forward International Fixed Income Fund, the Forward Long/Short Credit Analysis Fund, and the Forward Strategic Realty Fund to the Forward EM Corporate Debt Fund, the Forward Credit Analysis Long/Short Fund, and the Forward Real Estate Long/Short Fund, respectively, effective May 1, 2011;
WHEREAS, the Board of Trustees of the Fund will ratify on June 8, 2011, the name change of the Forward Frontier MarketStrat Fund and the Forward SMIDPlus Fund to the Forward Frontier Strategy Fund and the Forward Extended MarketPlus Fund, respectively, effective May 1, 2011;
WHEREAS, in light of the foregoing, ALPS and the Fund wish to modify the provisions of the Agreement to reflect revised Schedules I-A and I-B – List of Portfolios.
NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:
| 1. | Schedules I-A and I-B – List of Portfolios. Schedules I-A and I-B are replaced in its entirety with the attached Schedules I-A and I-B. |
| 2. | Remainder of the Agreement. All services under Article II of the Agreement shall continue until such services are no longer rendered. All other provisions of the Agreement shall remain unchanged. |
IN WITNESS WHEREOF, this Amendment has been executed by a duly authorized representative of each of the parties hereto as of the date of the Amendment first set forth above.
| ALPS Fund Services, Inc. |
||||||||
| By: | /s/ Xxxxxx X. May |
By: | /s/ Xxxxxx X. Naka | |||||
| Name: Xxxxxx X. May | Name: Xxxxxx X. Naka | |||||||
| Title: President | Title: Vice President Funds | |||||||
SCHEDULE I-A
To the Amended and Restated Transfer Agent Interactive Client Service Agreement
Fund Group I and Fund Group III Fund List
Dated as of May 1, 2011
Forward Banking and Finance Fund
Forward Commodity Long/Short Strategy Fund
Forward Credit Analysis Long/Short Fund
Forward EM Corporate Debt Fund
Forward Emerging Markets Fund
Forward Global Infrastructure Fund
Forward Growth Fund
Forward Focus Fund
Forward HITR Fund1
Forward International Dividend Fund
Forward International Real Estate Fund
Forward International Small Companies Fund
Forward Large Cap Equity Fund
Forward Real Estate Fund
Forward Real Estate Long/Short Fund
Forward Select EM Dividend Fund
Forward Select Income Fund
Forward Small Cap Equity Fund
Forward Tactical Enhanced Fund
Forward Tactical Growth Fund
| 1 | Fund has yet to commence operations. |
SCHEDULE I-B
To the Amended and Restated Transfer Agent Interactive Client Service Agreement
Fund Group II Fund List
As of May 1, 2011
Forward Aggressive Growth Allocation Fund
Forward Balanced Allocation Fund
Forward CorePlus Fund
Forward Extended MarketPlus Fund
Forward Frontier Strategy Fund
Forward Growth Allocation Fund
Forward Growth & Income Allocation Fund
Forward High Yield Bond Fund
Forward Income Allocation Fund
Forward Income & Growth Allocation Fund
Forward Investment Grade Fixed-Income Fund
Forward International Equity Fund
Forward Strategic Alternatives Fund
Forward U.S. Government Money Fund
