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, 2010 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 January 13, 2010, name changes to certain series of the Fund;
WHEREAS, changes to the names of certain share classes and series names were effective May 1, 2010;
WHEREAS, the term “Forward Series” is now referred to as “Fund Group I” and “Fund Group III” and the term “Accessor Series” is now referred to as “Fund Group II”;
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 and references to “Forward Series” and “Accessor Series”.
NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:
| 1. | Schedule I-A – List of Portfolios. Schedule I-A is replaced in its entirety with the attached Schedule I-A. |
| 2. | Schedule I-B – List of Portfolios. Schedule I-B is replaced in its entirety with the attached Schedule I-B. |
| 3. | References to “Forward Series” and “Accessor Series”. All references to “Forward Series” is replaced with the term “Fund Group I” and “Fund Group III” and references to “Accessor Series” is replaced with the term “Fund Group II”. |
| 4. | 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. | Forward Funds | |||||||
| By: | /s/ Xxxxxx X. May |
By: | /s/ J. Xxxx Xxxx, Jr. | |||||
| Name: | Xxxxxx X. May | Name: | J. Xxxx Xxxx, Jr. | |||||
| Title: | President | Title: | President | |||||
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, 2010
Forward Banking and Finance Fund
Forward Emerging Markets Fund
Forward Global Infrastructure Fund
Forward Growth Fund
Forward HITR Fund1
Forward International Dividend Fund
Forward International Fixed Income Fund
Forward International Real Estate Fund
Forward International Small Companies Fund
Forward Large Cap Equity Fund
Forward Legato Fund
Forward Long/Short Credit Analysis Fund
Forward Real Estate Fund
Forward Select Income Fund
Forward Small Cap Equity Fund
Forward Tactical Growth Fund
Forward Strategic Realty 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, 2010
Forward Aggressive Growth Allocation Fund
Forward Balanced Allocation Fund
Forward Frontier Markets 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 Large Cap Growth Fund
Forward Large Cap Value Fund
Forward Mortgage Securities Fund
Forward Small to Mid Cap Fund
Forward Strategic Alternatives Fund
Forward U.S. Government Money Fund
