Exhibit h.6
THIRD AMENDMENT TO
AMENDED AND RESTATED FINANCIAL AGENT AGREEMENT
THIRD AMENDMENT TO
AMENDED AND RESTATED FINANCIAL AGENT AGREEMENT
THIS AMENDMENT made effective as of the 1st day of January, 2003 amends that
certain Financial Agent Agreement dated November 19, 1997, as amended June 1,
1998 and March 23, 1998, and updated by letter agreement dated February 9, 2001,
by and among the following parties (the "Agreement") as hereinbelow provided.
W I T N E S S E T H :
WHEREAS, the parties hereto wish to amend Schedule A of the Agreement
to reflect the recently approved fee structure and to update the list of Funds
subject to the Agreement:
NOW, THEREFORE, in consideration of the foregoing premise, Schedule A
is hereby replaced with the Schedule A attached hereto and made a part hereof.
Except as hereinabove provided, the Agreement shall be and remain unmodified and
in full force and effect.
IN WITNESS WHEREOF, the parties have caused this Amendment to be
executed by their duly authorized officers on this 21st day of May 2003.
PHOENIX-ABERDEEN WORLDWIDE OPPORTUNITY FUND
PHOENIX EQUITY SERIES FUND
PHOENIX-XXXXXXX CALIFORNIA TAX EXEMPT BOND FUND
PHOENIX INVESTMENT TRUST 97
PHOENIX MULTI-PORTFOLIO FUND
PHOENIX MULTI-SERIES TRUST
PHOENIX-OAKHURST INCOME & GROWTH FUND
PHOENIX-OAKHURST STRATEGIC ALLOCATION FUND
PHOENIX-SENECA FUNDS
PHOENIX SERIES FUND
PHOENIX STRATEGIC EQUITY SERIES FUND
By:
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Xxxxxx X. XxXxxxxxxx
President
PHOENIX EQUITY PLANNING CORPORATION
By:
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Xxxxxxx X. Xxxxx
Executive Vice President, Chief Financial Officer &
Treasurer
SCHEDULE A
REVISED PURSUANT TO SECOND AMENDMENT EFFECTIVE JUNE 1, 1998
Revised Fee Schedule
Fee Information for Services as Financial Agent
For its services hereunder, Financial Agent shall be paid a fee equal to the sum
of (1) the document cost of fund accounting and related services provided by
PFPC, Inc., as subagent, to Financial Agent, plus (2) the document cost to
Financial Agent to provide financial reporting and tax services and oversight of
subagent's performance.
The current PFPC fees are attached here to and made a part hereof.
PFPC FEE SCHEDULE
ANNUAL COMPLEX ASSET BASED FEES:
The following annual fee will be calculated based upon the Portfolios' aggregate
average net assets and paid monthly:
0.065% for the first $5 billion of aggregate average net assets of the
Portfolios;
0.061% for the next $5 billion of aggregate average net assets of the
Portfolios;
0.055% for the next $5 billion of aggregate average net assets of the
Portfolios;
0.040% for the next $5 billion of aggregate average net assets of the
Portfolios; and
0.030% on the aggregate average net assets of the Portfolios in excess of $20
billion.
Services for any new mutual fund added to the Agreement during the Agreement's
term will be subject to the same fee schedule.
MONTHLY COMPLEX MINIMUM FEE:
The following monthly complex minimum will be calculated per each Portfolio
services:
$5,833 for the first 50 Portfolios;
$5,417 for the next 25 Portfolios; and
$5,000 for each Portfolio over 75.
OUT-OF-POCKET EXPENSES:
PEPCO will reimburse PFPC for out-of-pocket expenses incurred on a Fund's
behalf, including, but not limited to the following:
Pricing Service: *
Domestic Equity $0.14
Foreign Equity $0.55
Corporate Bond $0.40
Foreign Bond $0.55
Municipal Bond $0.60
CMO/Asset back $0.80
Broker obtained quotes $1.00
Mainframe IAS Reports Transmissions $2,000 per month
Remote IAS access $1,500 per month
Daily NAV distribution (approx.) $0.24 per minute (fax);
$0.004 per minute (email)
Federal Express charges Actual charges
Record storage $6 per month
*These prices will be charged at the CUSIP level and will not be charged for
each holding.
MISCELLANEOUS:
Any fee or out-of-pocket expenses not paid within 30 days of the date of the
original invoice will be charged a late payment fee of 1% per month until
payment of the fees are received by PFPC. If PFPC is removed from the Amended
and Restated Sub-Administration and Accounting Services Agreement other than for
a material breach thereof, you shall pay any costs of time and material
associated with the deconversion.
FUNDS SUBJECT TO AMENDED AND RESTATED
FINANCIAL AGENT AGREEMENT DATED 11/19/1997
(AS OF MAY 21, 2003)
PHOENIX-ABERDEEN WORLDWIDE OPPORTUNITIES FUND
PHOENIX EQUITY SERIES FUND
Phoenix-Duff & Xxxxxx Core Equity Fund
Phoenix-Oakhurst Growth & Income Fund
PHOENIX-XXXXXXX CALIFORNIA TAX EXEMPT BOND FUND
PHOENIX INVESTMENT TRUST 97
Phoenix-Hollister Value Equity Fund
Phoenix-Hollister Small Cap Value Fund
PHOENIX MULTI-PORTFOLIO FUND
Phoenix-Aberdeen International Fund
Phoenix-Duff & Xxxxxx Real Estate Securities Fund
Phoenix-Xxxxxxx Emerging Markets Bond Fund
Phoenix-Xxxxxxx Tax-Exempt Bond Fund
Phoenix-Seneca Tax Sensitive Growth Fund
PHOENIX MULTI-SERIES TRUST
Phoenix-Xxxxxxx Multi-Sector Fixed Income Fund
Phoenix-Xxxxxxx Multi-Sector Short Term Bond Fund
PHOENIX-OAKHURST INCOME & GROWTH FUND
PHOENIX-OAKHURST STRATEGIC ALLOCATION FUND
PHOENIX SERIES FUND
Phoenix-Duff & Xxxxxx Core Bond Fund
Phoenix-Xxxxxxxx Aggressive Growth Fund
Phoenix-Xxxxxxxx Capital Growth Fund
Phoenix-Xxxxxxx High Yield Fund
Phoenix-Xxxxxxx Money Market Fund
Phoenix-Oakhurst Balanced Fund
PHOENIX-SENECA FUNDS
Phoenix-Seneca Bond Fund
Phoenix-Seneca Mid-Cap "EDGE"(SM) Fund
Phoenix-Seneca Real Estate Securities Fund
PHOENIX STRATEGIC EQUITY SERIES FUND
Phoenix-Seneca Growth Fund
Phoenix-Seneca Strategic Theme Fund
