Terms of Appointment; Duties of the Agent. Subject to the terms and conditions set forth in this Agreement, the Fund hereby employs and appoints the Agent to act as transfer agent and dividend disbursing agent. The Agent shall perform all of the customary services of a transfer agent and dividend disbursing agent, and as relevant, agent in connection with accumulation, open account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), including but not limited to:
A. Receive orders for the purchase of shares, with prompt delivery, where appropriate, of payment and supporting documentation to the Fund's custodian;
B. Process purchase orders and issue the appropriate number of certificated or uncertificated shares with such uncertificated shares being held in the appropriate shareholder account;
C. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Fund's custodian;
D. Pay monies (upon receipt from the Fund's custodian, where relevant) in accordance with the instructions of redeeming shareholders;
E. Process transfers of shares in accordance with the shareowner's instructions;
F. Process exchanges between funds within the same family of funds;
G. Issue and/or cancel certificates as instructed; replace lost, stolen or destroyed certificates upon receipt of satisfactory indemnification or surety bond;
H. Prepare and transmit payments for dividends and distributions declared by the Fund;
I. Make changes to shareholder records, including, but not limited to, address changes in plans (i.e., systematic withdrawal, automatic investment, dividend reinvestment, etc.);
J. Record the issuance of shares of the Fund and maintain, pursuant to Section Rule 17ad-10(e), a record of the total number of shares of the Fund which are authorized, issued and outstanding;
K. Prepare shareholder meeting lists and, if applicable, mail, receive and tabulate proxies;
L. Mail shareholder reports and prospectuses to current shareholders;
M. Prepare and file U.S. Treasury Department forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders;
N. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Fund; and
O. Provide a Blue Sky System which will enable the Fund to monitor the total num...
Terms of Appointment; Duties of the Agent. 1.01. Subject to the terms and conditions set forth in this Agreement, the Corporation hereby employs and appoints the Agent to act as, and the Agent agrees to act as, transfer agent for the Corporation's authorized and issued Class S shares of beneficial interest ("Shares") of each series of the Fund listed on the attached Schedule A, dividend disbursing agent and agent in connection with any accumulation, open-account or similar plans provided to the shareholders of the Corporation ("Shareholders") and set out in a currently effective prospectus ("Prospectus") or currently effective statement of additional information ("Statement of Additional Information") of the Corporation, including without limitation any periodic investment plan or periodic withdrawal program. The term "Corporation" shall be deemed to apply to each series of Shares, unless the context otherwise requires.
1.02. The Agent agrees that it will perform the following services:
(a) In accordance with procedures established from time to time by agreement between the Corporation and the Agent, the Agent shall:
(i) Receive for acceptance orders for the purchase of Shares and promptly deliver payment and appropriate documentation thereof to the duly authorized custodian of the Corporation (the "Custodian").
(ii) Pursuant to orders for the purchase of Shares, record the purchase of the appropriate number of Shares in the Shareholder's account and, if requested by the Shareholder, and if the Directors of the Corporation have authorized the issuance of stock certificates, issue a certificate for the appropriate number of Shares;
(iii) Pursuant to instructions provided by Shareholders, reinvest income dividends and capital gain distributions;
(iv) Receive for acceptance redemption requests and redemption directions and deliver the appropriate documentation thereof to the Custodian;
(v) Provide an appropriate response to Shareholders with respect to all correspondence and rejected trades;
(vi) At the appropriate time as and when it receives monies paid to it by the Custodian with respect to any redemption, pay over or cause to be paid over in the appropriate manner such monies as instructed by the redeeming Shareholders;
(vii) Effect transfers of Shares by the registered owners thereof upon receipt of appropriate instructions;
(viii) Prepare and transmit payments for dividends and distributions declared by the Corporation ;
(ix) Report abandoned property to the various states as authorized by the C...
Terms of Appointment; Duties of the Agent. Subject to the terms and conditions set forth in this Agreement, the Trust hereby employs and appoints the Agent to act as transfer agent and dividend disbursing agent. The Agent shall perform all of the customary services of a transfer agent and dividend disbursing agent, and as relevant, agent in connection with accumulation, open account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), including but not limited to:
A. Receive orders for the purchase of shares, with prompt delivery, where appropriate, of payment and supporting documentation to the Trust's custodian;
B. Process purchase orders and issue the appropriate number of certificated or uncertificated shares with such uncertificated shares being held in the appropriate shareholder account;
C. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Trust's custodian;
D. Pay monies (upon receipt from the Trust's custodian, where relevant) in accordance with the instructions of redeeming shareholders;
E. Process transfers of shares in accordance with the shareowner's instructions;
F. Process exchanges between funds within the same family of funds;
G. Issue and/or cancel certificates as instructed; replace lost, stolen or destroyed certificates upon receipt of satisfactory indemnification or surety bond;
H. Prepare and transmit payments for dividends and distributions declared by the Trust;
I. Make changes to shareholder records, including, but not limited to, address changes in plans (i.e., systematic withdrawal, automatic investment, dividend reinvestment, etc.);
J. Record the issuance of shares of the Trust and maintain, pursuant to Section Rule 17ad-10(e), a record of the total number of shares of the Trust which are authorized, issued and outstanding;
K. Prepare shareholder meeting lists and, if applicable, mail, receive and tabulate proxies;
L. Mail shareholder reports and prospectuses to current shareholders;
M. Prepare and file U.S. Treasury Department forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders;
N. Provide shareholder account information upon request and prepare and mail confirmations and statements of account to shareholders for all purchases, redemptions and other confirmable transactions as agreed upon with the Trust; and
Terms of Appointment; Duties of the Agent. 1.1 Subject to the terms and conditions set forth in this Agreement, each Trust hereby employs and appoints the Agent to act as, and the Agent agrees to act as its agent for each Trust’s authorized and issued Shares, in connection with any accumulation, open-account or similar plans provided to the shareholders of each Trust (“Shareholders”). The Agent, either directly or through third parties, including affiliates, it may contract with (vendors or service providers, shall perform certain acts of the Trusts on behalf of their respective Shareholders as set out in the current effective Prospectus and Statement of Additional Information of each Trust, including without limitation any periodic investment plan or periodic withdrawal program.
1.2 The Agent agrees that it will perform the following services: In accordance with each Trust’s then current Prospectus and Statement of Additional Information and procedures established from time to time by agreement between the relevant Trust and the Agent, the Agent shall:
(i) mail or cause to be mailed Shareholder reports, prospectuses, and any other mailings required by the federal or state securities laws to each Trust’s current Shareholders;
(ii) respond to inquiries from shareholders, the principal underwriter-distributor (“Distributor”) for Shares, and financial intermediaries;
(iii) prepare and transmit to the transfer agent for the Shares, shareholder instructions for Share redemptions and subscriptions;
(iv) implement reasonable procedures to monitor potential money laundering and by taking all other necessary actions to adhere to the Bank Secrecy Act as amended by the USA PATRIOT Act of2001 and the implementing regulations thereunder (collectively, the “AML Acts”); and
(v) perform services in connection with a Customer Identity Theft Prevention Program with respect to the Trusts’ Customers. Procedures applicable to certain of these services described in this Section may be established from time to time by agreement between the Trusts and the Agent and shall be subject to the review and approval of the Trusts. The failure of the Trusts to establish such procedures with respect to any service shall not in any way diminish the duty and obligation of the Agent to perform such service hereunder.
Terms of Appointment; Duties of the Agent. Subject to the terms and conditions set forth in this Agreement, the Trust hereby employs and appoints the Agent to act as transfer agent and dividend disbursing agent. The Agent shall perform all of the customary services of a transfer agent and dividend disbursing agent, and as relevant, agent in connection with accumulation, open account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), including but not limited to:
A. Receive and process orders for the purchase of shares of the Funds received in good order and issue and credit shareholder accounts with the appropriate number of certified or uncertified shares. Receive payments by check, Fed wire, or through Automated Clearing House ("ACH") processing. Prepare and process daily deposit or delivery of payment and proper supporting documentation to the Trust's custodian.
B. Establish shareholder accounts with appropriate demographic data, information regarding participation in plans (i.e., systematic withdrawal, automatic investment, dividend reinvestment, etc.) and information regarding tax I.D. certification or non-resident alien records, including backup withholding. Make changes to shareholder accounts to reflect changes in demographic data or participation in plans.
C. Maintain valid and appropriate participation with the National Securities Clearing Corporation ("NSCC") and provide access to NSCC's Fund/Serv System for the Funds as agreed from time-to-time with the Trust.
D. Produce shareholder lists and ad hoc reports for proxy solicitations or as requested by Trust management, including lists of linked accounts within Funds or across multiple funds to facilitate combined statements, or lists of accounts linked by social security number, last name and/or address to facilitate household mailings.
E. Create and produce mailing labels for regular, periodic or special mailings to shareholders or households.
F. Receive and process redemption requests received in good order by mail, telephone or other proper method, including automated processing of systematic withdrawal transactions on a monthly basis. Deliver appropriate redemption documentation to the Trust's custodian.
G. Administer distribution of redemption proceeds, in coordination with Trust's custodian, by check, Fed Wire or ACH processing.
H. Process transfers of shares in accordance with the shareowner's instructions;
I. Process exchanges between Funds within the same family of Funds u...
Terms of Appointment; Duties of the Agent. Subject to the terms and conditions set forth in this Agreement, the Fund hereby employs and appoints the Agent to act as transfer agent and dividend disbursing agent. The Agent shall perform all of the customary services of a transfer agent and dividend disbursing agent, and as relevant, agent in connection with accumulation, open account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), in accordance with the conditions and procedures set forth in the prospectus and Statement of Additional Information relating to the Fund as in effect from time to time (together, the "Prospectus") including but not limited to:
A. Receive orders for the purchase of shares, with prompt delivery where appropriate, of payment and supporting documentation to the Fund's custodian;
B. Process purchase orders and issue the appropriate number of certificated or uncertificated shares with such uncertificated shares being held in the appropriate shareholder account;
C. Process redemption requests received in good order and, where relevant, deliver appropriate payment and supporting documentation to the Fund's custodian;
D. Pay monies in accordance with the instructions of redeeming shareholders;
E. Process transfers of shares in accordance with the shareholder's instructions;
F. Process exchanges between funds within the same family of funds;
G. Issue and/or cancel certificates as instructed; replace lost, stolen or destroyed certificates upon receipt of satisfactory indemnification or surety bond;
H. Prepare and transmit or credit payments for dividends and distributions declared by the Fund;
I. Make changes to shareholder records, including, but not limited to, address changes in plans (i.e., systematic withdrawal, automatic investment, dividend reinvestment, etc.);
J. Record the issuance of shares of the Fund and maintain, pursuant to Securities Exchange Act of 1934 Rule 17ad-10(e), a record of the total number of shares of the Fund which are authorized, issued and outstanding;
K. Prepare shareholder meeting lists and, if applicable, mail, receive and tabulate proxies;
L. Mail shareholder reports and prospectuses to current shareholders;
M. Prepare and file U.S. Treasury Department forms 1099 and other appropriate information returns required with respect to dividends and distributions for all shareholders;
N. Provide shareholder account information upon request and prepare and mail confirmations and statements of accoun...
Terms of Appointment; Duties of the Agent. Subject to the terms and conditions set forth in this Agreement, the Company hereby employs and appoints the Agent to act as transfer agent, registrar, exchange agent and dividend disbursing agent. The Company is authorized to issue separate classes of shares as well as preferred stock, options, warrants, convertible securities or similar instruments. The parties intend that each such class and instrument, as set forth in Appendix A, established by the Company, now or in the future, be covered by the terms and conditions of this Agreement. The Agent shall perform all of the customary services of a transfer agent, registrar, exchange agent and dividend disbursing agent, and as relevant, agent in connection with warrant programs, option or similar plans (including without limitation any periodic investment plan), including but not limited to:
A. Issue, register and countersign certificates (that is, certificates not issued upon transfer and cancellation of existing certificates then outstanding) of the Company's stock covered by this appointment upon being furnished with an appropriate written request signed by an officer of the Company, a certified copy of a resolution of the Board of Directors authorizing such original issue and, if specifically requested by the Agent, an opinion of counsel;
B. Accept for transfer any outstanding certificates representing the Company's stock covered by this appointment, and to issue and countersign new certificates in place thereof, except that the Agent may refuse to transfer such certificate if it in good faith believes that the certificate, when surrendered for transfer, is not validly or genuinely endorsed or is otherwise not in compliance with law. The Agent reserves the right to refuse to transfer shares until it is satisfied that the requested transfer is legally authorized and it shall incur no liability for the refusal in good faith to make transfers which it, in its judgment, believes may be improper, unauthorized or for any reason not permitted by law. The Agentmay, in effecting transfers, rely upon Simplification Acts or the Uniform Commercial Code which it believes may protect the Agent and the Company in not requiring complete documentation. In cases in which the Agent is not directed or otherwise required to maintain the consolidated records of stockholders' accounts, the Agent shall not be liable for any loss which may arise by reason of not having such records where it has exercised ordinary diligence. The...
Terms of Appointment; Duties of the Agent. Subject to the terms and conditions set forth in this Agreement, the Fund hereby employs and appoints the Agent to act as transfer agent and dividend disbursing agent. The Fund is authorized to issue separate series of shares of beneficial interest representing interests in separate investment portfolios (each, a "Portfolio"). The parties intend that each Portfolio, as set forth in Appendix A, established by the Fund, now or in the future, be covered by the terms and conditions of this Agreement. The Agent shall perform all of the customary services of a transfer agent and dividend disbursing agent, and as relevant, agent in connection with accumulation, open account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), including but not limited to:
A. Receive orders for the purchase of shares, with prompt delivery, where appropriate, of payment and supporting documentation to the Fund's custodian;
B. Process purchase orders and issue the appropriate number of certificated or uncertificated shares with such uncertificated shares being held in the appropriate shareholder account;
C. Process redemption requests received in good order and, where relevant, deliver appropriate documentation to the Fund's custodian;
D. Pay monies (upon receipt from the Fund's custodian, where relevant) in accordance with the instructions of redeeming shareholders;
E. Process transfers of shares in accordance with the shareholder's instructions;
F. Process exchanges between any Portfolio;
G. Prepare and transmit payments for dividends and distributions declared by the Fund;
H. Make changes to shareholder records, including, but not limited to, address changes in plans (i.e., systematic withdrawal, automatic investment, dividend reinvestment, etc.);
I. Record the issuance of shares of the Fund and maintain, pursuant to Rule 17Ad-10(e) under the Securities Exchange Act of 1934 ("1934 Act"), a record of the total number of shares of the Fund which are authorized, issued and outstanding and such other records as are required to be maintained by a transfer agent for open-end registered investment companies by the rules under the 1934 Act;
J. Prepare shareholder meeting lists and, if applicable, mail, receive and tabulate proxies;
K. Mail shareholder reports and the Fund's most current prospectus and statement of additional information to current shareholders;
L. Prepare and file U.S. Treasury Department forms 1099 and other approp...
Terms of Appointment; Duties of the Agent. 1.01 Subject to the terms and conditions set forth in this Agreement, the Fund hereby employs the Agent to act as, and the Agent agrees to act as, Dividend Reinvestment Plan Agent for the Fund's shareholders pursuant to the terms and conditions of the Plan.
Terms of Appointment; Duties of the Agent. Subject to the terms and conditions set forth in this Agreement, the Trust hereby employs_and appoints the Agent to act as transfer agent and dividend disbursing agent. The Agent shall perform all of the customary services of a transfer agent and dividend disbursing agent, and as relevant, agent in connection with accumulation, open account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), including but not limited to:
A. Receive orders for the purchase of shares;
B. Process purchase orders and issue the appropriate number of certificated or uncertificated shares with such uncertificated shares being held in the appropriate shareholder account;
C. Process redemption requests received in good order;
D. Pay monies in accordance with the instructions of redeeming shareholders;
E. Process transfers of shares in accordance with the shareowner's instructions;
F. Process exchanges between funds within the same family of funds;
