LETTER AMENDMENT April 2, 2020 State Street Bank and Trust Company Quincy, MA 02169 Attn: Suzanne Hinckley, Managing Director Dear Sir or Madam:
Exhibit 99.(j)(4)
LETTER AMENDMENT
April 2, 2020
State Street Bank and Trust Company
0000 Xxxxx Xxxxxx Xxxxx, XXX0X
Quincy, MA 02169
Attn: Xxxxxxx Xxxxxxxx, Managing Director
Dear Sir or Madam:
Lord Xxxxxx & Co. LLC (“Lord Xxxxxx”), as a party to the Custodian and Investment Accounting Agreement between various Lord Xxxxxx-sponsored investment companies and State Street Bank and Trust Company (“State Street”) dated November 1, 2001, as amended (the “Agreement”), requests an amendment to the Agreement pursuant to Section 17.
Section 17 of the Agreement provides that: “in the event that a Fund establishes one or more series with respect to which it desires to have State Street render services as custodian and recordkeeper under the terms of the Agreement, it shall so notify State Street in writing, and if State Street agrees in writing to provide such services, such series of Shares shall become a Portfolio under the terms of the Agreement.” This Letter Amendment is to notify State Street that on January 30, 2020 Xxxx Xxxxxx established Lord Xxxxxx Floating Rate High Income Fund (the “Fund”), a Lord Xxxxxx-sponsored investment company that is operated as an interval fund and is organized as a Delaware statutory trust. It is the Fund’s desire to have State Street render services as custodian and recordkeeper to the Fund under the terms of the Agreement; therefore, the Fund requests that State Street agree, in writing, to provide such services to the Fund.
Attached is an Amended Exhibit A to the Agreement that includes the name of the Fund as an entity that participates in the Agreement effective as of the close of business on April 2, 2020.
It is currently anticipated that the registration statement for the Fund will become effective on or around June 2020. Accordingly, we appreciate your prompt attention to this matter. Please indicate State Street’s acceptance by signing below.
| On Behalf of : | |
| Lord Xxxxxx Floating Rate High Income Fund | |
| /s/Xxxx Xxxxxxxxxx | |
| Xxxx Xxxxxxxxxx | |
| Vice President and Assistant Secretary |
Accepted:
/s/Xxxxxx Xxxxxxxx
Xxxxxx Xxxxxxxx, Executive Vice President
State Street Bank and Trust Company
Enclosure
EXHIBIT A
Amended as of April 2, 20201
|
ENTITY AND SERIES |
TYPE OF ENTITY |
JURISDICTION |
| Lord Xxxxxx Affiliated Fund, Inc. | Corporation | Maryland |
| Lord Xxxxxx Xxxx-Debenture Fund, Inc. | Corporation | Maryland |
| Xxxx Xxxxxx Credit Opportunities Fund | Statutory Trust | Delaware |
| Lord Xxxxxx Developing Growth Fund, Inc. | Corporation | Maryland |
| Lord Xxxxxx Floating Rate High Income Fund | Statutory Trust | Delaware |
| Lord Xxxxxx Global Fund, Inc. | Corporation | Maryland |
| Lord Xxxxxx Emerging Markets Bond Fund | ||
| Xxxx Xxxxxx Emerging Markets Corporate Debt Fund | ||
| Lord Xxxxxx Global Bond Fund | ||
| Xxxx Xxxxxx Investment Trust | Statutory Trust | Delaware |
| Lord Xxxxxx Convertible Fund | ||
| Lord Xxxxxx Core Fixed Income Fund | ||
| Lord Xxxxxx Core Plus Bond Fund | ||
| Xxxx Xxxxxx Corporate Bond Fund | ||
| Lord Xxxxxx Floating Rate Fund | ||
| Lord Xxxxxx High Yield Fund | ||
| Lord Xxxxxx Income Fund | ||
| Lord Xxxxxx Inflation Focused Fund | ||
| Lord Xxxxxx Multi-Asset Balanced Opportunity Fund | ||
| Lord Xxxxxx Multi-Asset Income Fund | ||
| Lord Xxxxxx Short Duration Core Bond Fund | ||
| Lord Xxxxxx Short Duration Income Fund | ||
|
Xxxx Xxxxxx Total Return Fund Lord Xxxxxx Ultra Short Bond Fund |
||
| Lord Xxxxxx Mid Cap Stock Fund, Inc. | Corporation | Maryland |
| Lord Xxxxxx Municipal Income Fund, Inc. | Corporation | Maryland |
| Xxxx Xxxxxx AMT Free Municipal Bond Fund | ||
| Lord Xxxxxx California Tax-Free Income Fund | ||
| Lord Xxxxxx High Yield Municipal Bond Fund | ||
| Lord Xxxxxx Intermediate Tax Free Fund | ||
| Lord Xxxxxx National Tax-Free Income Fund | ||
| Xxxx Xxxxxx New Jersey Tax-Free Income Fund | ||
| Lord Xxxxxx New York Tax-Free Income Fund | ||
| Xxxx Xxxxxx Short Duration High Yield Municipal Bond Fund | ||
| Lord Xxxxxx Short Duration Tax Free Fund |
1 As amended on April 2, 2020 to reflect the addition of Lord Xxxxxx Floating Rate High Income Fund.
| Lord Xxxxxx Research Fund, Inc. | Corporation | Maryland |
| Xxxx Xxxxxx Dividend Growth Fund2 | ||
| Lord Xxxxxx Growth Opportunities Fund | ||
| Small-Cap Value Series | ||
| Xxxx Xxxxxx Securities Trust | Statutory Trust | Delaware |
| Lord Xxxxxx Alpha Strategy Fund | ||
| Lord Xxxxxx Durable Growth Fund | ||
| Xxxx Xxxxxx Focused Growth Fund | ||
| Xxxx Xxxxxx Focused Large Cap Value Fund | ||
| Xxxx Xxxxxx Focused Small Cap Value Fund | ||
| Xxxx Xxxxxx Fundamental Equity Fund | ||
|
Xxxx Xxxxxx Global Equity Research Fund Lord Xxxxxx Growth Leaders Fund |
||
| Lord Xxxxxx Health Care Fund | ||
| Xxxx Xxxxxx International Equity Fund | ||
| Xxxx Xxxxxx International Opportunities Fund | ||
| Lord Xxxxxx International Value Fund | ||
| Lord Xxxxxx Micro-Cap Growth Fund | ||
| Lord Xxxxxx Value Opportunities Fund | ||
| Lord Xxxxxx Series Fund, Inc. | Corporation | Maryland |
| Bond-Debenture Portfolio | ||
| Dividend Growth Portfolio2 | ||
| Developing Growth Portfolio | ||
| Fundamental Equity Portfolio | ||
| Growth and Income Portfolio | ||
| Growth Opportunities Portfolio | ||
| Mid Cap Stock Portfolio | ||
| Short Duration Income Portfolio | ||
| Total Return Portfolio | ||
| Xxxx Xxxxxx Trust I | Statutory Trust | Delaware |
| Xxxx Xxxxxx U.S. Government & Government Sponsored Enterprises Money Market Fund, Inc. | Corporation | Maryland |
2 Effective April 1, 2020, Xxxx Xxxxxx Calibrated Dividend Growth and Calibrated Dividend Growth Portfolio were renamed Lord Xxxxxx Dividend Growth Fund and Dividend Growth Portfolio, respectively.
