Signature Required
MUTUAL FUND RULE 22C-2 INFORMATION SHARING AGREEMENT
A. According to the applicable mutual fund(s) records, your firm ("you" or
"Firm") is a shareholder of record of one or more of the mutual funds listed on
Schedule A hereto (each, a "Fund") for which SEI Investments Distribution Co.
("SIDCO") acts as the principal underwriter, and you appear to be a "financial
intermediary," as defined by Rule 22c-2 under the Investment Company Act of
1940.
B. Rule 22c-2 REQUIRES financial intermediaries transacting in mutual fund
shares to agree in writing with a fund or its principal underwriter to provide
the fund with certain underlying shareholder data and to abide by instructions
for the fund related to those shareholders.
NOW, THEREFORE, in consideration of the foregoing premises, and for good and
valuable consideration, the receipt of which is hereby acknowledged, you hereby
agree as follows as to each Fund listed on Schedule A for which you are, or will
in the future, become a shareholder of record:
AGREEMENT TO PROVIDE SHAREHOLDER INFORMATION.
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a. As instructed by you, the Fund's transfer agent has opened
accounts on the Fund's books and records (each, an "account") in order
to process Share purchase and redemption requests for you and your
"Shareholders" (as that term is defined below). You agree to provide
the Fund, or its designee, upon written request, the taxpayer
identification number ("TIN"), if known, of any or all Shareholders;
the name or other identifier of any investment professionals associated
with the Shareholders or account (if known); and the amount, date, and
transaction type (purchase, redemption, transfer, or exchange) of every
purchase, redemption, transfer, or exchange of Shares held through an
account during the period covered by the request. While the Fund may
request this information at any time after the effective date of this
agreement, you are not required to provide any information under this
Amendment until the Rule 22c-2 compliance date, currently designated as
October 16, 2007 in SEC Release IC - 26728.
b. You agree to transmit the requested information that is on
your books and records to the Fund, or its designee, promptly, but in
any event not later than five (5) business days, after receipt of a
request. If the requested information is not on your books and records,
you agree to: (i) provide or arrange to provide to the Fund the
requested information from Shareholders who hold an account with an
"indirect intermediary" (as defined in Rule 22c-2); or (ii) if directed
by the Fund (or its designee), block further purchases of Shares from
such indirect intermediary. In such instance, you agree to inform the
Fund whether you plan to perform (i) or (ii). Responses required by
this paragraph must be communicated in writing, which writing may be an
electronic or a facsimile transmission, and in a format mutually agreed
upon by the parties. To the extent practicable, the format for any
transaction information provided to the Fund, or its designee, should
be consistent with the NSCC Standardized Data Reporting Format. .
c. The Fund agrees that all requests will set forth a specific
period for which transaction information is sought, which period may
include each trading day. The Fund may request transaction information
as it deems appropriate, including to investigate compliance with
policies established by the Fund for the purpose of eliminating or
reducing disruptive trading activity in the Fund or dilution of the
value of the outstanding Shares of the Fund. The Fund agrees not to use
the information received for marketing or any other similar purpose
without your prior written consent.
Signature Required
d. You agree to execute written instructions from the Fund, or
its designee, to restrict or prohibit further purchases or exchanges of
Shares by any Shareholder specifically identified by the Fund or its
designee. Such instruction can be for any reason deemed appropriate by
the Fund or its designee, including for a Shareholder that has been
identified as having engaged in transactions of the Fund's Shares
(directly or indirectly through your accounts) that violate policies
established by the Fund for the purpose of eliminating or reducing
disruptive trading activity in the Fund or dilution of the value of the
outstanding Shares of the Fund. When issuing you instructions, the
Fund, or its designee, will include the TIN, if known, and the specific
restriction(s) to be executed. If the TIN is not known,
the instructions will include an equivalent identifying number of the
Shareholder(s) or account(s) or other agreed upon information. You
agree to execute instructions as soon as reasonably practicable, but
not later than five (5) business days after you receive the
instructions and you must provide written confirmation to the Fund, or
its designee, that instructions have been executed. You agree to
provide confirmation as soon as reasonably practicable, but not later
than ten (10) business days after the instructions have been executed.
e. For purposes of this Section, the term "Shareholder" means:
(i) the beneficial owner of Shares, whether the Shares are held
directly or by you in nominee name; (ii) the employee benefit,
retirement or other plan participant notwithstanding that the plan may
be deemed to be the beneficial owner of Shares; or (iii) the holder of
interests in a variable annuity or variable life insurance contract
issued by you.
IN WITNESS WHEREOF, this Agreement has been executed as of the date set forth
below.
SEI INVESTMENTS DISTRIBUTION CO. FIRM :___________________________
By: /s/ Xxxx X. XxXxxxx By: _____________________________
Name: Xxxx X. XxXxxxx Name: ___________________________
Title: Vice President Title: __________________________
Date: August 4, 2006 Date: ___________________________
*** PURSUANT TO SEC RULES, YOUR FAILURE TO EXECUTE AND RETURN THE ABOVE
AGREEMENT TO US BY APRIL 16, 2006 MAY RESULT IN A FUND'S INABILITY TO CONTINUE
TO ACCEPT TRADES PACED BY YOU ON BEHALF OF YOU AND YOUR CLIENTS AND/OR THE FUND
REVOKING YOUR STATUS AS A FINANCIAL INTERMEDIARY FOR PURPOSES OF THE FUND'S
MARKET TIMING, AND IF APPLICABLE, REDEMPTION FEE POLICIES.***
Signature Required
Schedule A (Funds)
