Exhibit (h)(3)(c) Amendment to Amended and Restated Transfer Agent Interactive Client Services Agreement Dated June 3, 2009 Between ALPS Fund Services, Inc. and Forward Funds
Exhibit (h)(3)(c)
Amendment to Amended and Restated Transfer Agent Interactive Client Services
Agreement Dated June 3, 2009
Between
ALPS Fund Services, Inc.
and
THIS AMENDMENT is made as of December 15, 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 Agent Interactive Client Services Agreement (the “Agreement”) dated June 3, 2009 and effective June 15, 2009;
WHEREAS, ALPS and the Fund have entered into an Amendment and Restated Fund Accounting and Administration Agreement (the “Administration Agreement”) dated April 12, 2010;
WHEREAS, the initial term of the Agreement expired on December 8, 2011 thereafter continuing for successive annual terms;
WHEREAS, the initial term of the Administration Agreement expires on April 12, 2013 thereafter continuing for successive annual terms;
WHEREAS, Forward Management, LLC recommends that the renewal term of the Agreement synchronize with the expiration of the initial term of the Administration Agreement;
WHEREAS, in light of the foregoing, ALPS and the Fund wish to modify the term provisions of the Agreement to reflect the revised term. Further, ALPS and the Fund wish to revise Schedule I-A and I-B– List of Portfolios;
NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:
| 1. | Schedules I-A and I-B– List of Portfolios. Schedules I-A and I-B are replaced in their entirety with the attached |
| Schedule | A. |
| 2. | Termination. Section 5.1 of the Agreement is replaced in its entirety with the below. |
Term. The term of this Agreement shall be three years (“Initial Term”) from December 8, 2008 unless terminated pursuant to the provisions of this Section 5.). This Agreement shall automatically renew at the end of the Initial Term until April 12, 2013, the date of the expiration of the initial term of the Fund
Accounting and Administration Agreement between the Fund and ALPS. From April 12, 2013 thereafter, this Agreement will renew automatically for additional, successive twelve (12)-month terms (each, a “Renewal Term”) unless terminated by either party on not less than sixty (60) days prior written notice to the other party. The Initial Term and any Renewal Term(s) are referred to herein as the Term.
| 3. | Remainder of the Agreement. All services under Section 2 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/ Xxxxxx X. Naka | |||||
| Name: Xxxxxx X. May | Name: Xxxxxx X. Naka | |||||||
| Title: President | Title: Vice President Funds | |||||||
SCHEDULE A
To the Amended and Restated Transfer Agent Interactive Client Service Agreement
Dated as of December 15, 2011
Forward Aggressive Growth Allocation Fund
Forward Balanced Allocation Fund
Forward Banking and Finance Fund
Forward Commodity Long/Short Strategy Fund
Forward CorePlus Fund
Forward Credit Analysis Long/Short Fund
Forward EM Corporate Debt Fund
Forward Emerging Markets Fund
Forward Extended MarketPlus Fund
Forward Focus Fund
Forward Frontier Strategy Fund
Forward Global Credit Long/Short Fund
Forward Global Infrastructure Fund
Forward Growth & Income Allocation Fund
Forward Growth Allocation Fund
Forward Growth Fund
Forward High Yield Bond Fund
Forward Income & Growth Allocation Fund
Forward Income Allocation Fund
Forward International Dividend Fund
Forward International Equity Fund
Forward International Real Estate Fund
Forward International Small Companies Fund
Forward Investment Grade Fixed-Income Fund
Forward Large Cap Dividend Fund
Forward Real Estate Fund
Forward Real Estate Long/Short Fund
Forward Select EM Dividend Fund
Forward Select Income Fund
Forward Small Cap Equity Fund
Forward Strategic Alternatives Fund
Forward Tactical Enhanced Fund
Forward Tactical Growth Fund
Forward U.S. Government Money Fund
