Exhibit (h)(6)
SECOND AMENDMENT TO
SECURITIES LENDING AUTHORIZATION AGREEMENT
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 TRUST COMPANY
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").
Reference is made to a Securities Lending Authorization Agreement dated
August 1, 2005 between the Funds and State Street, as in effect on the date
hereof prior to giving effect to this Amendment (the "Agreement"). The Funds and
State Street both desire to amend the Agreement as set forth below.
For value received, and for other good and valuable consideration, the
receipt and sufficiency of which are hereby acknowledged, the parties mutually
agree to amend the Agreement in the following respect:
1. Definitions. All terms used herein and not otherwise defined shall have
the meanings set forth in the Agreement.
2. Amendment.
---------
The Agreement is hereby amended by deleting Schedule B to the Agreement
in its entirety and replacing it with the revised Schedule B attached hereto.
3. Miscellaneous. Except to the extent specifically amended by this
Amendment, the provisions of the Agreement shall remain unmodified, and the
Agreement is ratified and affirmed as being in full force and effect. This
Amendment, the Agreement and the other documents and certificates referred to in
the Agreement constitute the entire understanding of the parties with respect to
the subject matter thereof and supersede all prior and current understandings
and agreements, whether written or oral. This Amendment shall be construed in
accordance the laws of the Commonwealth of Massachusetts.
4. Effective Date. This Second Amendment shall be effective as of March 1,
2007.
IN WITNESS WHEREOF, the parties hereto execute this Amendment as an
instrument under seal by their duly authorized officers by affixing their
signatures below.
EACH OF THE PHOENIX SERIES FUND, PHOENIX ASSET TRUST, THE PHOENIX EDGE SERIES FUND, ON BEHALF OF
PHOENIX INVESTMENT TRUST 97, PHOENIX INVESTMENT TRUST EACH RESPECTIVE SERIES OF SUCH TRUST AS SET
06, PHOENIX EQUITY TRUST, THE XXXXX FUND, INC., THE FORTH ON SCHEDULE B, SEVERALLY AND NOT
XXXXX TOTAL RETURN FUND, INC., AND PHOENIX ADVISER JOINTLY
TRUST ON BEHALF OF EACH RESPECTIVE SERIES OF EACH SUCH
TRUST AS SET FORTH ON SCHEDULE B, SEVERALLY AND NOT
JOINTLY
By: By:
Name: W. Xxxxxxx Xxxxxxx Name: W. Xxxxxxx Xxxxxxx
------------------ ------------------
Title: Chief Financial Officer and Treasurer Title: Vice President, Chief Financial
------------------------------------- -------------------------------
Officer, Treasurer and Principal
--------------------------------
Accounting Officer
------------------
STATE STREET BANK AND
TRUST COMPANY
By: /s/ Xxxxxxx Xxx
--------------------------------------------
Name: Xxxxxxx Xxx
--------------------------------------------
Title: Senior Managing Director, Securities Finance
--------------------------------------------
SCHEDULE B
----------
This Schedule is attached to and made part of the Securities Lending
Authorization Agreement, dated the 1st day of August 2005 between EACH
TRUST LISTED ON SCHEDULE B HERETO (each a "Trust"), ON BEHALF OF EACH
RESPECTIVE SERIES OF EACH SUCH TRUST (each, a "Fund," and collectively,
the "Funds"), SEVERALLY AND NOT JOINTLY, AS SET FORTH ON SCHEDULE B and
STATE STREET BANK AND TRUST COMPANY ("State Street"), as amended.
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TAXPAYER
IDENTIFICATION TAX LENDING
TRUST NAME FUND NAME NUMBER YEAR-END LIMITS
---------- --------- ------ -------- ------
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
PHOENIX SERIES FUND Phoenix Balanced Fund 00-0000000 10/31 27%
------------------------------------ --------------------- ----------------- ------------
Phoenix Capital Growth Fund 00-0000000 10/31 27%
(f.k.a. Phoenix-Xxxxxxxx Capital
Growth Fund)
------------------------------------ --------------------- ----------------- ------------
Phoenix Core Bond Fund 00-0000000 10/31 27%
------------------------------------ --------------------- ----------------- ------------
Phoenix Mid-Cap Growth Fund 00-0000000 10/31 27%
(f.k.a. Phoenix-Xxxxxxxx Mid-Cap
Growth Fund)
------------------------------------ --------------------- ----------------- ------------
Phoenix HighYield Fund (f.k.a. 00-0000000 10/31 27%
Phoenix-Xxxxxxx High Yield Fund)
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
PHOENIX ASSET TRUST Phoenix Rising Dividends Fund 00-0000000 12/31 24%
(F.K.A. PHOENIX-KAYNE FUNDS) (f.k.a. Phoenix-Kayne Rising
Dividends Fund)
------------------------------------ --------------------- ----------------- ------------
Phoenix Small-Mid Cap Fund (f.k.a. 00-0000000 12/31 24%
Phoenix-Kayne Small Cap Fund)
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
PHOENIX INVESTMENT TRUST 97 Phoenix Small-Cap Value Fund 00-0000000 8/31 27%
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
PHOENIX INVESTMENT TRUST 06 Phoenix All-Cap Growth Fund 00-0000000 12/31 27%
(F.K.A. THE PHOENIX-XXXXXXXX FUNDS)
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
PHOENIX EQUITY TRUST Phoenix Worldwide Strategies Fund 00-0000000 6/30 27%
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
THE PHOENIX EDGE SERIES FUND Phoenix Capital Growth Series 00-0000000 12/31 27%
(f.k.a. Phoenix-Xxxxxxxx Capital
Growth Series)
------------------------------------ --------------------- ----------------- ------------
Phoenix Multi Sector Fixed Income 00-0000000 12/31 27%
Series (f.k.a. Phoenix-Xxxxxxx
Mulit-Sector Fixed Income Series)
------------------------------------ --------------------- ----------------- ------------
Phoenix-Aberdeen International 00-0000000 12/31 27%
Series
------------------------------------ --------------------- ----------------- ------------
Phoenix Strategic Allocation 00-0000000 12/31 27%
Series (f.k.a. Phoenix-Xxxxxxxx
Strategic Allocation Series)
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
THE XXXXX FUND, INC. The Xxxxx Fund, Inc. 00-0000000 12/31 15%
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
THE XXXXX TOTAL RETURN FUND, INC. The Xxxxx Total Return Fund, Inc. 00-0000000 12/31 15%
----------------------------------------- ------------------------------------ --------------------- ----------------- ------------
PHOENIX ADVISER TRUST Phoenix Foreign Opportunities Fund 00-0000000 2/28 27%
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