Exhibit (h)(2)(b) 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)(b)
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 November 1, 2012 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 September 8, 2011, the Forward Floating NAV Short Duration Fund, a new series of the Fund;
WHEREAS, the Board of Trustees of the Fund approved on September 12, 2012, the Forward Core Strategy Long/Short Fund, a new series of the Fund;
WHEREAS, in light of the foregoing, ALPS and the Fund wish to modify the provisions of the Agreement to reflect revised Schedule A – List of Portfolios;
NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:
1. | Schedules A – List of Portfolios. Schedule A is replaced in its entirety with the attached Schedule A. |
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: |
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By: |
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Name: | Xxxxxx X. May | Name: | Xxxxxx X. Naka | |||||
Title: | President | Title: | Vice President Funds |
SCHEDULE A
To the Amended and Restated Transfer Agency and Service Agreement
As of November 1, 2012
Portfolio |
Open Classes 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 Commodity Long/Short Strategy Fund | Investor Class Institutional Class Class C Class M Class Z | |
Forward Core Strategy Long/Short Fund | 1 | |
Forward CorePlus Fund | Investor Class Institutional Class 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 Endurance Long/Short Fund | Investor Class Institutional Class | |
Forward Extended MarketPlus Fund | Investor Class Institutional Class Class C Class Z | |
Forward Floating NAV Short Duration Fund | 2 |
1 | The Forward Core Strategy Long/Short Fund is not yet operational. The open share classes will be added and the Fund will incur charges in accordance with Schedule B. |
2 | The Forward Floating NAV Short Duration Fund is not yet operational. The open share classes will be added and the Fund will incur charges in accordance with Schedule B. |
Forward Focus Fund | Investor Class Institutional Class Class A | |
Forward Frontier Strategy Fund | Investor Class Institutional Class Class M Class Z | |
Forward Global Credit Long/Short Fund | Investor Class Institutional Class Class C Class M | |
Forward Global Infrastructure Fund | Investor Class Institutional Class Class A Class B Class C Class M | |
Forward Growth & Income Allocation Fund | Investor Class Institutional Class Class A Class C | |
Forward Growth 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 & Growth Allocation Fund | Investor Class Institutional Class Class A Class C | |
Forward Income Builder Fund | Investor Class Institutional Class Class A Class C | |
Forward International Dividend Fund | Investor Class Institutional Class Class C Class M | |
Forward International Real Estate Fund | Investor Class Institutional Class Class A Class C Class M |
Forward International Small Companies Fund | Investor Class Institutional Class Class A Class M | |
Forward Investment Grade Fixed-Income Fund | Investor Class Institutional Class Class Z | |
Forward Large Cap Dividend Fund | Investor Class Institutional Class Class A | |
Forward Managed Futures Strategy Fund | Investor Class Institutional Class Class C Class Z | |
Forward Real Estate Fund | Investor Class Institutional Class Class A Class C | |
Forward Real Estate Long/Short Fund | Investor Class Institutional Class Class A Class B Class C Class M | |
Forward Select EM Dividend Fund | Investor Class Institutional Class Class M Class C | |
Forward Select Income Fund | Investor Class Institutional Class Class A Class B Class C Class M | |
Forward Small Cap Equity Fund | Investor Class Institutional Class Class A Class M | |
Forward Strategic Alternatives Fund | Investor Class Institutional Class Class Z | |
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 | |
Forward U.S. Government Money Fund | Investor Class Institutional Class Class A Class C Class Z |