TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • June 29th, 2009 • DGHM Investment Trust • Delaware
EX-99.(H)(21) 8 d587334dex99h21.htm TRANSFER AGENCY AND SERVICE AGREEMENT Exhibit (h)(21) FINANCIAL INVESTORS TRUST STONEBRIDGE SMALL CAP GROWTH FUND TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • May 5th, 2020 • Colorado
THIS AGREEMENT is made as of December 31, 2012, between Financial Investors Trust, organized as a statutory trust under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • December 29th, 2006 • Consulting Group Capital Markets Funds • New York
AGREEMENT, dated as of January 1, 2006 by and between each of the investment companies listed on Schedule A hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business at 125 Broad Street, New York, New York 1004 and PFPC, Inc. (“Transfer Agent”), a Massachusetts corporation with principal offices at 301 Bellevue Parkway, Wilmington, Delaware 19809.
EX-99.H.8 5 dex99h8.htm FORM OF TRANSFER AGENCY AND SERVICE AGREEMENT BETWEEN REGISTRANT AND ALPS FUND Exhibit (h)(8) FINANCIAL INVESTORS TRUST THE DISCIPLINED GROWTH INVESTORS FUND FORM OF TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • May 5th, 2020 • Colorado
THIS AGREEMENT is made as of , 2011, between Financial Investors Trust, organized as a statutory trust under the laws of the State of Delaware (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • August 22nd, 2014 • Western Asset Middle Market Income Fund Inc. • New York
AGREEMENT, dated as of March 20, 2006 by and between each of the investment companies listed on Schedule A hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business at 125 Broad Street, New York, New York 10004 and American Stock Transfer, inc. (“Transfer Agent”), a New York corporation with principal offices at 59 Maiden Lane, New York, New York 10038.
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • April 16th, 2021 • Legg Mason Partners Variable Income Trust • New York
AGREEMENT, dated as of December 19, 2013 by and between each of the investment companies listed on Schedule A attached hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business as listed on Schedule A, as amended from time to time, and BNY Mellon Investment Servicing (US) Inc. (“Transfer Agent” or “BNYM”), a Massachusetts corporation with principal corporate offices at 301 Bellevue Parkway, Wilmington, Delaware 19809. Any references herein to “the Fund” are meant to encompass each applicable Fund or series thereof, as the context requires.
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • March 6th, 2024 • Western Asset Global High Income Fund Inc.
AGREEMENT, dated as of March 14, 2016 (the “Effective Date”) by and between each of the investment companies listed on Schedule A attached hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business as listed on Schedule A, as amended from time to time, and Computershare Inc., a Delaware corporation (“Computershare”), and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Transfer Agent”) each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021. Any references herein to “the Fund” are meant to encompass each applicable Fund or any series thereof, as the context requires.
77Q1 Legg Mason Partners Capital Preservation Fund II April 9, 2007 PFPC, Inc. 301 Bellevue Parkway Wilmington, DE 19809 Re: Transfer Agency and Services Agreement Ladies and Gentlemen: Reference is made to the Transfer Agency and Services Agreement...Transfer Agency and Services Agreement • December 28th, 2007 • Legg Mason Partners Trust Ii
April 9, 2007 PFPC, Inc. 301 Bellevue Parkway Wilmington, DE 19809 Re: Transfer Agency and Services Agreement Ladies and Gentlemen: Reference is made to the Transfer Agency and Services Agreement (as amended to date, the Agreement), dated as of January 1, 2006, by and among PFPC, Inc., a Massachusetts corporation, and each investment company identified as an Old Fund on Exhibit A hereto (each, a Fund and, collectively, the Funds) on behalf of each of its series identified as Old Portfolios on Exhibit A hereto (each, a Portfolio and, collectively, the Portfolios). In connection with a restructuring of the complex of which the Funds and Portfolios are a part, as of the close of business on April 13, 2007 or April 27, 2007, as indicated on Exhibit A hereto (each, a Closing Date), many of the Funds and Portfolios will be reorganized as set forth on Exhibit A hereto. Additionally, as indicated on Exhibit A, several Funds and Portfolios have recently ceased or shall cease operations followin
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • March 18th, 2009 • Western Asset Municipal Defined Opportunity Trust Inc. • New York
AGREEMENT, dated as of March 20, 2006 by and between each of the investment companies listed on Schedule A hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business at 125 Broad Street, New York, New York 10004 and American Stock Transfer, Inc. (“Transfer Agent”), a New York corporation with principal offices at 59 Maiden Lane, New York, New York 10038.
Exhibit (h)(3) TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • April 30th, 2013 • Northeast Investors Growth Fund Inc • Colorado
THIS AGREEMENT is made as of August 29, 2011, between Northeast Investors Growth Fund, organized as a business trust under the laws of Massachusetts (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”).
TRANSFER AGENCY AND SERVICES AGREEMENT AGREEMENT, dated as of October 1, 1999 by and between each of the investment companies listed on Schedule A hereto, as amended from time to time (each a "Fund" and collectively the "Funds") and each having its...Transfer Agency and Services Agreement • April 25th, 2001 • Smith Barney Disciplined Small Cap Fund Inc • New York
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • April 20th, 2015 • Legg Mason Partners Variable Income Trust • New York
AGREEMENT, dated as of September 1, 2014 by and between each of the investment companies listed on Schedule A attached hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business as listed on Schedule A, as amended from time to time, and Boston Financial Data Services, Inc. (“Transfer Agent”), a Massachusetts corporation with principal offices at 2000 Crown Colony Drive, Quincy, MA 02169. Any references herein to “the Fund” are meant to encompass each applicable Fund or series thereof, as the context requires.
Exhibit (h)(1)(vi) AMENDMENT TO EXHIBIT 1 OF TRANSFER AGENCY AND SERVICES AGREEMENT This Exhibit 1, amended and restated as of December 1, 2005, replaces the Exhibit 1 of the Transfer Agency and Services Agreement dated March 1, 1998, as amended from...Transfer Agency and Services Agreement • November 22nd, 2005 • Atlantic Whitehall Funds Trust
This Exhibit 1, amended and restated as of December 1, 2005, replaces the Exhibit 1 of the Transfer Agency and Services Agreement dated March 1, 1998, as amended from time to time, between Atlantic Whitehall Funds Trust and PFPC Inc.
SUB -TRANSFER AGENCY AND SERVICES AGREEMENT AGREEMENT, dated as of October 1, 1999 between Smith Barney Private Trust Company ("Transfer Agent"), a New York corporation having its principal place of business at 388 Greenwich Street, New York, New York...Transfer Agency and Services Agreement • May 30th, 2001 • Smith Barney Equity Funds • New York
SUB -TRANSFER AGENCY AND SERVICES AGREEMENT AGREEMENT, dated as of October 1, 1999 between Smith Barney Private Trust Company ("Transfer Agent"), a New York corporation having its principal place of business at 388 Greenwich Street, New York, New York...Transfer Agency and Services Agreement • June 27th, 2001 • Smith Barney California Municipals Funds Inc • New York
TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • September 20th, 2006 • Legg Mason Partners Income Funds • New York
AGREEMENT, dated as of January 1, 2006 by and between each of the investment companies listed on Schedule A hereto, as amended from time to time (each a “Fund” and collectively the “Funds”) and each having its principal place of business at 125 Broad Street, New York, New York 1004 and PFPC, Inc. (“Transfer Agent”), a Massachusetts corporation with principal offices at 301 Bellevue Parkway, Wilmington, Delaware 19809.
TRANSFER AGENCY AND SERVICES AGREEMENT AGREEMENT, dated as of October 1, 1999 by and between each of the investment companies listed on Schedule A hereto, as amended from time to time (each a "Fund" and collectively the "Funds") and each having its...Transfer Agency and Services Agreement • December 5th, 2000 • Smith Barney Shearson Investment Funds Inc • New York
TRANSFER AGENCY AND SERVICES AGREEMENT BETWEEN JOHCM FUNDS TRUST AND THE NORTHERN TRUST COMPANYTransfer Agency and Services Agreement • October 25th, 2021 • JOHCM Funds Trust • Illinois
AGREEMENT made as of this 16th day of July, 2021 (this “Agreement”), by and between JOHCM Funds Trust, a business trust organized under the laws of the Commonwealth of Massachusetts, with its principal place of business at 53 State Street, 13th Floor, Boston, MA, 02109 (the “Trust”), acting on its own behalf and on behalf of each of its series listed in Schedule A hereto, as it may be amended from time to time (each, a “Fund”, and collectively as the “Funds”), and THE NORTHERN TRUST COMPANY, a Illinois State Bank having its principal office and place of business at 50 S. LaSalle Street, Chicago, Illinois 60603 (the “Transfer Agent”).
SUPPLEMENT TO TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • January 28th, 2019 • ALPS Series Trust
This Supplement dated as of February 1, 2018 (this “Supplement”) is to the Transfer Agency and Services Agreement dated December 9, 2013, as amended (the “Agreement”), by and between ALPS Fund Services, Inc. and ALPS Series Trust (the “Trust”).
APPENDIX A TO TRANSFER AGENCY AND SERVICES AGREEMENT as of June 24, 2013Transfer Agency and Services Agreement • July 29th, 2013 • WisdomTree Trust
AMENDMENT NUMBER 1 TO THE TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • February 24th, 2012 • Managed Municipal Fund Inc
This Amendment Number 1 to the Rule 22c-2 Supplement to the Transfer Agency and Services Agreement (the “Amendment”) is made as of March 16, 2011 by and among each International Strategy & Investment registered investment company party thereto (each a “Fund,” collectively the “Funds”) and State Street Bank and Trust Company, a Massachusetts trust company (the “Transfer Agent”).
Amendment No. 9 To Transfer Agency and Services AgreementTransfer Agency and Services Agreement • March 6th, 2024 • Western Asset Global High Income Fund Inc.
This Amendment No. 9 To Transfer Agency and Services Agreement (“Amendment No. 9”), dated as of March 19, 2021 (“Effective Date”), is being entered into by and between Computershare Inc. (“Computershare”), Computershare Trust Company, N.A. (“Trust Company”, and together with Computershare, “Transfer Agent”) and the investment companies listed on the signature page to this Amendment No. 9 (“each a “Fund” and collectively the “Funds”).
WITNESSETHTransfer Agency and Services Agreement • April 29th, 2005 • Salomon Brothers Institutional Series Funds Inc • New York
FUND SERVICES, INC. TRANSFER AGENCY AND SERVICES AGREEMENT (Chase Growth Fund) AGREEMENT made as of August_________, 2002 (the "Agreement"), by and between Advisors Series Trust (the "Trust"), a Delaware business trust operating as an open-end...Transfer Agency and Services Agreement • January 28th, 2003 • Advisors Series Trust • Virginia
BEACON FUNDS AMENDMENT NO. 1Transfer Agency and Services Agreement • January 28th, 2022 • ALPS Series Trust
Except as amended hereby, all terms of the Existing Agreement remain in full force and effect. This Amendment includes the amendments in Schedule A and general terms in Schedule B hereto.
AMENDED AND RESTATED TRANSFER AGENCY AND SERVICES AGREEMENT BETWEEN PERPETUAL AMERICAS FUNDS TRUST AND THE NORTHERN TRUST COMPANYTransfer Agency and Services Agreement • October 28th, 2024 • Perpetual Americas Funds Trust • Illinois
AGREEMENT made as of March 29, 2024 (this “Agreement”) by and between PERPETUAL AMERICAS FUNDS TRUST, a business trust organized under the laws of the Commonwealth of Massachusetts, with its principal place of business at 53 State Street, 13th Floor, Boston, MA, 02109 (the “Trust”), acting on its own behalf and on behalf of each of its series listed on Schedule D (Fund List) hereto, as it may be amended from time to time (each, a “Fund”, and collectively as the “Funds”), and THE NORTHERN TRUST COMPANY, an Illinois corporation having its principal office and place of business at 50 S. LaSalle Street, Chicago, Illinois 60603 (the “Transfer Agent”).
1 Exhibit (k)(1) TRANSFER AGENCY AND SERVICES AGREEMENT AGREEMENT dated as of October 19, 1998, between Eaton Vance Senior Income Trust (the "Fund"), a voluntary association commonly known as a "Massachusetts business trust" having its principal place...Transfer Agency and Services Agreement • October 27th, 1998 • Eaton Vance Senior Income Trust • Massachusetts
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 FundsTransfer Agency and Services Agreement • April 30th, 2014 • Forward Funds
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;
DGHM INVESTMENT TRUST TRANSFER AGENCY AND SERVICES AGREEMENT COMMONWEALTH FUND SERVICES, INC. TRANSFER AGENCY AND SERVICES AGREEMENTTransfer Agency and Services Agreement • June 28th, 2012 • DGHM Investment Trust • Delaware
This TRANSFER AGENCY AND SERVICES AGREEMENT is made as of this 1st day of October, 2008, by and between DGHM Investment Trust (the “Trust”), a statutory trust duly organized and existing under the laws of the State of Delaware, and Commonwealth Fund Services, Inc. (“CFS”), a corporation duly organized and existing under the laws of the Commonwealth of Virginia.
Exhibit 1 THIS REVISED EXHIBIT 1, dated as of March 3, 2005 is the Revised Exhibit 1 to the Transfer Agency and Services Agreement dated April 1, 1998, as amended, between PFPC Inc. and Forward Funds, Inc. (the "Fund"). The following is the list of...Transfer Agency and Services Agreement • March 7th, 2005 • Forward Funds Inc
THIS REVISED EXHIBIT 1, dated as of March 3, 2005 is the Revised Exhibit 1 to the Transfer Agency and Services Agreement dated April 1, 1998, as amended, between PFPC Inc. and Forward Funds, Inc. (the "Fund"). The following is the list of the Fund's Portfolios that are subject to the Agreement:
1 EXHIBIT 99.(K)(1) TRANSFER AGENCY AND SERVICES AGREEMENT AGREEMENT dated as of December 21, 1998, between each registered investment company listed on Exhibit 1 hereof (as may be amended from time to time) (each a "Fund"), each being a voluntary...Transfer Agency and Services Agreement • January 26th, 1999 • Eaton Vance Michigan Municipal Income Trust • Massachusetts
AMENDED AND RESTATED TRANSFER AGENT INTERACTIVE CLIENT SERVICES AGREEMENTTransfer Agency and Services Agreement • July 1st, 2009 • Forward Funds • Colorado
This Amended and Restated Transfer Agency and Services Agreement (the “Agreement”) is made this 3rd day of June, 2009 and effective as of June 15, 2009, (the “Effective Date”) between Forward Funds, a Delaware statutory trust, (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (“ALPS”). ALPS and the Fund are collectively referred to herein as the “Parties” and individually as the “Party”.
Exhibit (h)(2)(b) Addendum to Amended and Restated Transfer Agency and Services Agreement Dated June 3, 2009 Between ALPS Fund Services, Inc. and Forward FundsTransfer Agency and Services Agreement • October 30th, 2009 • Forward Funds
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;
AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Services Agreement • December 30th, 2008 • Forward Funds • Colorado
This Amended and Restated Transfer Agency and Services Agreement (the “Agreement”) is made as of this 7th day of November, 2008 and effective as of December 1, 2008, between Forward Funds, a Delaware statutory trust (the “Fund”) and ALPS Fund Services, Inc., a Colorado corporation having its principal office at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Transfer Agent”).
AMENDMENT NUMBER 1 TO THE TRANSFER AGENCY AND SERVICES AGREEMENT BY AND BETWEEN THE DFA INVESTMENT TRUST COMPANY AND STATE STREET BANK AND TRUST COMPANYTransfer Agency and Services Agreement • February 28th, 2014 • Dfa Investment Trust Co
This Amendment Number 1 to the Transfer Agency and Services Agreement (the “Amendment”) is made as of [_________________], 2013 by and between THE DFA INVESTMENT TRUST COMPANY (the “Fund”), and STATE STREET BANK AND TRUST COMPANY (the “Transfer Agent”).
