Exhibit (h)(2)(c) Amendment to Amended and Restated Transfer Agency and Services Agreement Dated June 3, 2009 Between ALPS Fund Services, Inc. and Forward Funds
Exhibit (h)(2)(c)
Amendment to Amended and Restated Transfer Agency and Services 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 Agency and Services 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 A-1 and A-2 – List of Portfolios;
NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:
| 1. | Schedules A-1 and A-2 – List of Portfolios. Schedules A-1 and A-2 are replaced in its entirety with the attached Schedules A-1 and A-2. |
| 2. | Remainder of the Agreement. All services under Section 1 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. | Forward Funds | |||||||||
| By: |
|
By: |
|
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| Name: Xxxxxx X. May | Name: J. Xxxx Xxxx, Jr. | |||||||||
| Title: President | Title: President | |||||||||
SCHEDULE A-1
To the Amended and Restated Transfer Agency and Service Agreement
Fund Group I and Fund Group III Portfolios and Classes List
As of May 1, 2011
| Portfolio |
Open Classes of Shares | |
| Forward Banking and Finance Fund | Investor Class Class A Class C | |
| Forward Commodity Long/Short Strategy Fund | Investor Class Institutional Class Class M Class Z | |
| Forward Credit Analysis Long/Short Fund | Investor Class Institutional Class Class A Class C Class M | |
| Forward EM Corporate Debt Fund | Investor Class Institutional Class Class C | |
| Forward Emerging Markets Fund | Investor Class Institutional Class Class M | |
| Forward Focus Fund | Investor Class Institutional Class Class A | |
| Forward Global Infrastructure Fund | Institutional Class Class A Class B Class C Class M | |
| Forward Growth Fund | Institutional Class Class A Class C | |
| Forward HITR Fund | 1 | |
| Forward International Dividend Fund | Investor Class Institutional Class | |
| Forward International Real Estate Fund | Institutional Class Class A Class C | |
| Forward International Small Companies | Investor Class |
| 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. |
| Fund | Institutional Class Class A Class M | |
| Forward Large Cap Equity Fund | Institutional Class Class A | |
| Forward Real Estate Fund | Investor Class Institutional Class Class A Class C | |
| Forward Real Estate Long/Short Fund | Institutional Class Class A Class B Class C | |
| Forward Select EM Dividend Fund | Investor Class Institutional Class Class M | |
| Forward Select Income Fund | Institutional Class Class A Class B Class C Class M | |
| Forward Small Cap Equity Fund | Investor Class Institutional Class Class A Class M | |
| Forward Tactical Enhanced Fund | Investor Class Institutional Class Class A Class C Class M | |
| Forward Tactical Growth Fund | Investor Class Institutional Class Class A Class C Class M |
SCHEDULE A-2
To the Amended and Restated Transfer Agency Service Agreement
Fund Group II Portfolio and Classes List
As of May 1, 2011
| Portfolio |
Class of Shares | |
| Forward Aggressive Growth Allocation Fund | Investor Class Institutional Class Class A Class C | |
| Forward Balanced Allocation Fund | Investor Class Institutional Class Class A Class C | |
| Forward CorePlus Fund | Investor Class Institutional Class Class Z | |
| Forward Extended MarketPlus Fund | Investor Class Institutional Class Class C Class Z | |
| Forward Frontier Strategy Fund | Investor Class Institutional Class Class Z | |
| Forward Growth Allocation Fund | Investor Class Institutional Class Class A Class C | |
| Forward Growth & Income Allocation Fund | Investor Class Institutional Class Class A Class C | |
| Forward High Yield Bond Fund | Investor Class Institutional Class Class C Class Z | |
| Forward Income Allocation Fund | Investor Class Institutional Class Class A Class C | |
| Forward Income & Growth Allocation Fund | Investor Class Institutional Class Class A Class C |
| Forward International Equity Fund | Investor Class Institutional Class Class Z | |
| Forward Investment Grade Fixed Income Fund | Investor Class Institutional Class Class Z | |
| Forward Strategic Alternatives Fund | Investor Class Institutional Class Class Z | |
| Forward U.S. Government Money Fund | Investor Class Institutional Class Class A Class C Class Z |
