AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF VIRTUS ASSET TRUSTAgreement and Declaration of Trust • June 22nd, 2017 • Virtus Asset Trust • Delaware
WHEREAS, there exists a certain Agreement and Declaration of Trust entitled Virtus Asset Trust (“Original Agreement”); and
VIRTUS ASSET TRUST VIRTUS CEREDEX LARGE CAP VALUE EQUITY FUND VIRTUS CEREDEX MID-CAP VALUE EQUITY FUND VIRTUS CEREDEX SMALL CAP VALUE EQUITY FUND SUBADVISORY AGREEMENT June 20, 2017Subadvisory Agreement • June 22nd, 2017 • Virtus Asset Trust • Delaware
Virtus Asset Trust (the “Trust”) is an open-end investment company of the series type registered under the Investment Company Act of 1940, as amended (the “Act”), and is subject to the rules and regulations promulgated thereunder. The shares of the Trust are offered or may be offered in several series, including Virtus Ceredex Large Cap Value Equity Fund, Virtus Ceredex Mid-Cap Value Equity Fund and Virtus Ceredex Small Cap Value Equity Fund (collectively, sometimes hereafter referred to as the “Series”).
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • June 22nd, 2017 • Virtus Asset Trust • Delaware
This Expense Limitation Agreement (the “Agreement”), effective as of June 12, 2017, by and between Virtus Asset Trust, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Virtus Fund Advisers, LLC, a Delaware corporation (the “Adviser”).
FORM OF JOINDER AGREEMENT AND AMENDMENT TO THE INDEMNIFICATION AGREEMENTIndemnification Agreement • June 22nd, 2017 • Virtus Asset Trust
This Joinder Agreement and Amendment to the Indemnification Agreement (this “Amendment”) is effective as of February 27, 2017 by and between (i) each trust whose name is set forth on the signature page (each such trust hereafter referred to as the “Trust”), acting on behalf of itself and each of its portfolio series, whether existing on the date hereof (as listed on Appendix A hereto) or subsequently established (the “Series”) and (ii) the trustee of the Trust whose name is set forth on the signature page (the “Trustee”).
UNDERWRITING AGREEMENTUnderwriting Agreement • June 22nd, 2017 • Virtus Asset Trust • Delaware
THIS AGREEMENT made as of this 12th day of June, 2017, by and between Virtus Asset Trust, a Delaware statutory trust having a place of business located at 101 Munson Street, Greenfield, Massachusetts (the “Fund”) and VP Distributors, LLC, a Delaware limited liability company having a place of business located at 100 Pearl Street, Hartford, Connecticut 06103 (the “Underwriter”).
VIRTUS ASSET TRUST (the “Trust”) CLASS C SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • June 22nd, 2017 • Virtus Asset Trust
Amendment to Master Custodian AgreementMaster Custodian Agreement • June 22nd, 2017 • Virtus Asset Trust • Massachusetts
This Amendment to Master Custodian Agreement is made as of May 26, 2017, by and among each management company identified on Appendix A hereto (each such management investment company and each management investment company made subject to the Agreement (as defined below) in accordance with Section 18.5 thereof, shall hereinafter be referred to as, the “Fund”) and State Street Bank and Trust Company (the “Custodian”).
VIRTUS ASSET TRUST INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • June 22nd, 2017 • Virtus Asset Trust • Delaware
THIS AGREEMENT, effective as of the 12th day of June, 2017 (the “Contract Date”) by and between Virtus Asset Trust, a Delaware business trust (the “Trust”), and Virtus Fund Advisers, LLC, a Delaware corporation (the “Adviser”).
to AMENDED AND RESTATED ADMINISTRATION AGREEMENTAdministration Agreement • June 22nd, 2017 • Virtus Asset Trust
THIS AMENDMENT made effective as of the 12th day of June, 2017 amends that certain amended and restated administration agreement, dated as of January 1, 2010, as amended, between the Trusts listed on Schedule A including the Funds listed under each Trust and Virtus Fund Services, LLC, a Delaware limited liability company (such party, the “Administrator” and such agreement, the “Agreement”) as herein below provided.
VIRTUS ASSET TRUST (the “Trust”) CLASS A SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • June 22nd, 2017 • Virtus Asset Trust
SIXTH AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • June 22nd, 2017 • Virtus Asset Trust
This Amendment, effective as of June 12, 2017, is made by and between the undersigned entities (hereinafter each referred to as the “Fund” and collectively referred to as the “Virtus Mutual Funds”) and Virtus Fund Services, LLC (hereinafter referred to as the “Transfer Agent”).
Virtus Mutual Funds and Available Share ClassesSales Agreement • June 22nd, 2017 • Virtus Asset Trust
*Class T shares are registered as of the date of this Annex A, but they are not expected to commence operations or be available for sale unless/until sufficient demand is expressed; in the event that Class T shares become available for sale, notice will be provided but no further amendment to this Annex A will be required for their sale.
AMENDMENT AND JOINDER TO ADMINISTRATION AGREEMENTAdministration Agreement • June 22nd, 2017 • Virtus Asset Trust • Massachusetts
This Amendment and Joinder, dated as of May 26, 2017, to the Administration Agreement dated as of August 30, 2010, as amended (the “Agreement”) between State Street Bank and Trust Company (“Administrator”) and RidgeWorth Funds is entered into by and among the Administrator, RidgeWorth Funds, Virtus Fund Services, LLC (“VFS”), a Delaware limited liability company, and Virtus Asset Trust, a Delaware statutory trust.
VIRTUS ASSET TRUST (the “Trust”) CLASS T SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • June 22nd, 2017 • Virtus Asset Trust
AMENDMENT AND JOINDERTransfer Agency and Service Agreement • June 22nd, 2017 • Virtus Asset Trust
This Amendment, dated as of May 2, 2017, to the Transfer Agency and Service Agreement dated August 20, 2010, as amended (the “Agreement”) between Boston Financial Data Services, Inc. (“Boston Financial”) and the RidgeWorth Funds is entered into by and among Boston Financial, Virtus Fund Services, LLC (“VFS”), each RidgeWorth Fund, individually and not jointly (each an “Acquired Fund”), and the series of Virtus Asset Trust, individually and not jointly (each an “Acquiring Fund”). Each of the Acquired Funds and the Acquiring Funds are identified on Appendix A hereto.
AMENDMENT AND JOINDER TO SECURITIES LENDING AUTHORIZATION AGREEMENTSecurities Lending Authorization Agreement • June 22nd, 2017 • Virtus Asset Trust • Massachusetts
This Amendment and Joinder (“Amendment”), dated as of May 31, 2017, to the Securities Lending Authorization Agreement dated as of March 11, 2015, as amended to date (the “Agreement”) between State Street Bank and Trust Company, acting either directly or through any State Street Affiliates (as defined in the Agreement) (collectively, “State Street”) and RidgeWorth Funds (the “RidgeWorth Trust”) on behalf of itself and its series as set forth in Schedule B thereto (each, a “Fund”), severally and not jointly, is entered into by and among State Street, the RidgeWorth Trust, on behalf of itself and each Acquired Fund and Continuing Fund (each as defined below), severally and not jointly, and Virtus Asset Trust, a Delaware statutory trust (the “Virtus Asset Trust”), on behalf of itself and each Acquiring Fund (as defined below), severally and not jointly.
VIRTUS ASSET TRUST (the “Trust”) CLASS R SHARES DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Distribution Plan • June 22nd, 2017 • Virtus Asset Trust
VIRTUS ASSET TRUST SUBADVISORY AGREEMENT June 21, 2017Subadvisory Agreement • June 22nd, 2017 • Virtus Asset Trust • Delaware
Virtus Asset Trust (the “Trust”) is an open-end investment company of the series type registered under the Investment Company Act of 1940, as amended (the “Act”), and is subject to the rules and regulations promulgated thereunder. The shares of the Trust are offered or may be offered in several series, including Virtus Seix Core Bond Fund, Virtus Seix Corporate Bond Fund, Virtus Seix Floating Rate High Income Fund, Virtus Seix Georgia Tax-Exempt Bond Fund, Virtus Seix High Grade Municipal Bond Fund, Virtus Seix High Income Fund, Virtus Seix High Yield Fund, Virtus Seix Investment Grade Tax-Exempt Bond Fund, Virtus Seix Limited Duration Fund, Virtus Seix North Carolina Tax-Exempt Bond Fund, Virtus Seix Short-Term Bond Fund, Virtus Seix Short-Term Municipal Bond Fund, Virtus Seix Total Return Bond Fund, Virtus Seix U.S. Government Securities Ultra-Short Bond Fund, Virtus Seix U.S. Mortgage Fund, Virtus Seix Ultra-Short Bond Fund, and Virtus Seix Virginia Intermediate Municipal Bond Fund
