AMENDMENT TO SUB-TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN PHOENIX EQUITY PLANNING CORPORATION AND BOSTON FINANCIAL DATA SERVICES, INC.
AMENDMENT
TO
SUB-TRANSFER AGENCY AND SERVICE AGREEMENT
BETWEEN
PHOENIX EQUITY PLANNING CORPORATION AND
BOSTON FINANCIAL DATA SERVICES, INC.
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.
NOW THEREFORE, the parties agree as follows:
| 1. | Schedule A. The Schedule A dated November 10, 2005 is hereby replaced with the attached Schedule A dated July 1, 2006. |
| 2. | Schedule 3.1. The fee schedule dated January 1, 2005 through December 31, 2007 to the Agreement is hereby replaced with the attached Schedule 3.1 effective July 1, 2006 through June 30, 2009. |
| 3. | All defined terms and definitions in the Agreement shall be the same in this amendment (the “2006 Amendment”) except as specifically revised by this 2006 Amendment. |
| PHOENIX EQUITY PLANNING CORPORATION | BOSTON FINANCIAL DATA SERVICES, INC. | |||||||
| By: | /s/ Xxxxx Xxxxxxxx | By: | /s/ Xxxxx Xxxxxxxxx | |||||
| Name: | Xxxxx Xxxxxxxx | Name: | Xxxxx Xxxxxxxxx | |||||
| Title: | 2nd VP, Mutual Fund Services | Title: | Client Service Officer | |||||
SCHEDULE A
July 1, 2006
Phoenix Adviser Trust
Phoenix Focused Value Fund
Phoenix Foreign Opportunities Fund
Phoenix Asset Trust
Phoenix CA Intermediate Tax-Free Bond Fund
Phoenix Rising Dividends Fund
Phoenix Small-Mid Cap Fund
Phoenix CA Tax-Exempt Bond Fund
Phoenix Equity Series Fund
Phoenix Growth & Income Fund
Phoenix Equity Trust
Phoenix Mid-Cap Value Fund
Phoenix Pathfinder Fund
Phoenix Relative Value Fund
Phoenix Total Value Fund
Phoenix Worldwide Strategies Fund
Phoenix Insight Funds Trust
Phoenix Insight Balanced Fund
Phoenix Insight Bond Fund
Phoenix Insight Core Equity Fund
Phoenix Insight Emerging Markets Fund
Phoenix Insight Equity Fund
Phoenix Insight Government Money Market Fund
Phoenix Insight High Yield Bond Fund
Phoenix Insight Index Fund
Phoenix Insight Intermediate Government Bond Fund
Phoenix Insight Intermediate Tax-Exempt Bond Fund
Phoenix Insight International Fund
Phoenix Insight Money Market Fund
Phoenix Insight Short/Intermediate Bond Fund
Phoenix Insight Small-Cap Growth Fund
Phoenix Insight Small-Cap Opportunity Fund
Phoenix Insight Small-Cap Value Fund
Phoenix Insight Tax-Exempt Bond Fund
Phoenix Insight Tax-Exempt Money Market Fund
SCHEDULE A
(continued)
July 1, 2006
Phoenix Institutional Mutual Funds
Phoenix Institutional Bond Fund
Phoenix Low-Duration Core Plus Bond Fund
Phoenix Investment Series Fund
Phoenix Global Utilities Fund
Phoenix Income & Growth Fund
Phoenix Investment Trust 06
Phoenix All-Cap Growth Fund
Phoenix Nifty Fifty Fund
Phoenix Small-Cap Growth Fund
Phoenix Investment Trust 97
Phoenix Quality Small-Cap Fund
Phoenix Small-Cap Sustainable Growth Fund
Phoenix Small-Cap Value Fund
Phoenix Value Equity Fund
Phoenix Multi-Portfolio Fund
Phoenix Emerging Markets Bond Fund
Phoenix International Strategies Fund
Phoenix Real Estate Securities Fund
Phoenix Tax-Exempt Bond Fund
Phoenix Multi-Series Trust
Phoenix High Yield Securities Fund
Phoenix Multi-Sector Fixed Income Fund
Phoenix Multi-Sector Short Term Bond Fund
Phoenix Opportunities Trust
Phoenix Bond Fund
Phoenix Earnings Driven Growth Fund
Phoenix Growth Opportunities Fund
Phoenix PHOLIOsSM
Phoenix Conservative Income PHOLIO
Phoenix Diversifier PHOLIO
Phoenix International PHOLIO
Phoenix Wealth Accumulator PHOLIO
Phoenix Wealth Builder PHOLIO
Phoenix Wealth Guardian PHOLIO
SCHEDULE A
(continued)
July 1, 2006
Phoenix Wealth Preserver PHOLIO
Phoenix Portfolios
Phoenix Market Neutral Fund
Phoenix Series Fund
Phoenix Balanced Fund
Phoenix Capital Growth Fund
Phoenix Core Bond Fund
Phoenix High Yield Fund
Phoenix Mid-Cap Growth Fund
Phoenix Money Market Fund
Phoenix Strategic Equity Series Fund
Phoenix Dynamic Growth Fund
Phoenix Fundamental Growth Fund
Phoenix Large-Cap Growth Fund
Phoenix Strategic Growth Fund
| PHOENIX EQUITY PLANNING CORPORATION | BOSTON FINANCIAL DATA SERVICES, INC. | |||||||
| By: | /s/ Xxxxx Xxxxxxxx | By: | /s/ Xxxxx Xxxxxxxxx | |||||
| Name: | Xxxxx Xxxxxxxx | Name: | Xxxxx Xxxxxxxxx | |||||
| Title: | 2nd VP, Mutual Fund Services | Title: | Client Service Officer | |||||
Schedule 3.1
Fees
July 1, 2006 through June 30, 2009
General: Fees are billable on a monthly basis at the rate of 1/12th of the annual fee and include National Quality Review charges. A charge is made for an account in the month that an account opens or closes. Account service fees are open account charges plus closed account charges. A CUSIP that merges with another CUSIP shall be charged account service fees through May of the year following the calendar year in which the CUSIP merged. CUSIPs are subject to account service fees until purged from the TA2000 System.
| Annual Account Service Fees |
|||
| Open Accounts: (up to 800,000 accounts)* |
|||
| Direct Accounts |
$ | 6.00/account | |
| Networked Accounts |
$ | 5.25/account | |
| Closed Accounts |
$ | 1.45 account | |
| Other Annual Fees | |||
| Investor |
$ | 2.00/Investor | |
| Complex Base Fee |
$ | 1,000,000 | |
| 12b-1 Commissions/TASS (per account) |
$ | 1.12/account | |
| COMFEE Processing (once initialized) |
$ | 0.25/account | |
| Transaction Fees | |||
| Checkwriting |
$ | 1.09/draft | |
| * | A discount of $.50 per account will be applied for each account in excess of 800,000 accounts. An additional discount of $.25 per account will be applied for accounts in excess of 1,000,000 accounts. |
Out-of-Pocket Expenses**: Out-of-pocket expenses include but are not limited to Automated Work Station “AWD” support fees, confirmation statement files, NSCC charges, postage, forms, audio response, Internet based applications, disaster backup, project management, business event management, programming, reports, telephone/line charges, faxes, transmissions, freight, records retention, federal funds wires, microfiche, CD ROMS, fund implementation and expenses incurred at the specific direction of the Transfer Agent.
| PHOENIX EQUITY PLANNING CORPORATION | BOSTON FINANCIAL DATA SERVICES, INC. | |||||||
| By: | /s/ Xxxxx Xxxxxxxx | By: | /s/ Xxxxx Xxxxxxxxx | |||||
| Name: | Xxxxx Xxxxxxxx | Name: | Xxxxx Xxxxxxxxx | |||||
| Title: | 2nd VP, Mutual Fund Services | Title: | Client Service Officer | |||||
