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Forward Funds, et al. – ‘485APOS’ on 2/19/14 – ‘EX-99.(H)(3)(B)’

On:  Wednesday, 2/19/14, at 4:03pm ET   ·   Private-to-Public:  Document/Exhibit  –  Release Delayed   ·   Accession #:  1193125-14-58763   ·   File #s:  33-48940, 811-06722

Previous ‘485APOS’:  ‘485APOS’ on 5/17/13   ·   Next:  ‘485APOS’ on 2/18/15   ·   Latest:  ‘485APOS’ on 2/29/16

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 2/19/14  Forward Funds                     485APOS¶              17:12M                                    Donnelley … Solutions/FA
          → Forward Balanced Allocation Fund ⇒ Class A (AOBAX) — Class C (ABAFX) — Institutional Class (ABAAX) — Investor Class (ACBIX)
          → Forward Core Strategy Long/Short Fund ⇒ Advisor Class (FCRMX) — Class C (FCRCX) — Institutional Class (FCRIX) — Investor Class (FCRRX)
          → Forward Equity Long/Short Fund ⇒ Advisor Class — Class C (FENCX) — Institutional Class (FENIX) — Investor Class (FENRX)
          → Forward Floating NAV Short Duration Fund ⇒ Advisor Class — Class C (FLOCX) — Class Z — Institutional Class (FLOIX) — Investor Class (FLORX)
          → Forward Global Dividend Fund ⇒ Class A (FFLAX) — Class C — Institutional Class (FFLSX) — Investor Class (FFLRX)
          → Forward Growth & Income Allocation Fund ⇒ Class A (AOIAX) — Class C (AGIGX) — Institutional Class (AGWAX) — Investor Class (AGIIX)
          → Forward Income & Growth Allocation Fund ⇒ Class A (AOLAX) — Class C (AIGMX) — Institutional Class (AIGAX) — Investor Class (ACIGX)
          → Forward Managed Futures Strategy Fund ⇒ Advisor Class (FUTMX) — Class C (FUTCX) — Class Z — Institutional Class (FUTIX) — Investor Class (FUTRX)
          → Forward Multi-Strategy Fund ⇒ Class A (AGRRX) — Class C (ACAGX) — Institutional Class (AAGRX) — Investor Class (ACAIX)
          → Forward Select EM Dividend Fund ⇒ Advisor Class (FSLMX) — Class A — Class C (FSLDX) — Institutional Class (FSLIX) — Investor Class (FSLRX)
          → Forward Small Cap Equity Fund ⇒ Advisor Class (FSCMX) — Class C — Institutional Class (FFHIX) — Investor Class (FFSCX)
          → Forward Tactical Enhanced Fund ⇒ Advisor Class (FTENX) — Class A (FTEAX) — Class C (FTEGX) — Institutional Class (FTETX) — Investor Class (FTEEX)
          → Forward U.S. Government Money Fund ⇒ Class A — Class C (AUCXX) — Class Z (ANIXX) — Institutional Class (AUSXX) — Investor Class (AUIXX)
          → Salient Adaptive Balanced Fund ⇒ Class A (AOGAX) — Class C (AGGGX) — Institutional Class (ACGAX) — Investor Class (AGALX)
          → Salient Adaptive Income Fund ⇒ Class A (AILAX) — Class C (AIACX) — Institutional Class (AIAAX) — Investor Class (AIAIX)
          → Salient Adaptive US Equity Fund ⇒ Class Z — Institutional Class (ASMCX) — Investor Class (ACSIX)
          → Salient Commodity Long/Short Strategy Fund ⇒ Advisor Class (FCMSX) — Class C (FFCCX) — Class Z (FTEZX) — Institutional Class (FCMLX) — Investor Class (FCOMX)
          → Salient EM Corporate Debt Fund ⇒ Class C (FFXCX) — Institutional Class (FFXIX) — Investor Class (FFXRX)
          → Salient EM Dividend Signal Fund ⇒ Class C — Class I2 (FEMMX) — Institutional Class (PTEMX) — Investor Class (PGERX)
          → Salient EM Infrastructure Fund ⇒ Class A (KGIAX) — Class B (KGIBX) — Class C (KGICX) — Class I2 (FGIMX) — Institutional Class (KGIYX) — Investor Class (FGLRX)
          → Salient Frontier Strategy Fund ⇒ Advisor Class (FROMX) — Class Z — Institutional Class (FRNMX) — Investor Class (FRONX)
          → Salient Global Real Estate Fund ⇒ Class A (KIRAX) — Class C (KIRCX) — Class I2 (FINMX) — Institutional Class (KIRYX) — Investor Class (FFIRX)
          → Salient High Yield Fund ⇒ Class C (AHYIX) — Class Z — Institutional Class (AHBAX) — Investor Class (AHBIX)
          → Salient International Dividend Signal Fund ⇒ Class A (FFDAX) — Class C (FINCX) — Class I2 (FIDMX) — Institutional Class (FFIEX) — Investor Class (FFINX)
          → Salient International Small Cap Fund ⇒ Class C — Class I2 (FNSMX) — Institutional Class (PTSCX) — Investor Class (PISRX)
          → Salient Investment Grade Fund ⇒ Class Z — Institutional Class (AIFIX) — Investor Class (AITIX)
          → Salient Real Estate Fund ⇒ Class A (KREAX) — Class C (KRECX) — Institutional Class (FPREX) — Investor Class (FFREX)
          → Salient Select Income Fund ⇒ Class A (KIFAX) — Class B (KIFBX) — Class C (KIFCX) — Class I2 (FSIMX) — Institutional Class (KIFYX) — Investor Class (FFSLX)
          → Salient Select Opportunity Fund ⇒ Class A (FSONX) — Class C (FSOCX) — Class I2 (FSOMX) — Institutional Class (FSOTX) — Investor Class (FSORX)
          → Salient Tactical Growth Fund ⇒ Class A (FTAGX) — Class C (FTGOX) — Class I2 (FTGMX) — Institutional Class (FTGWX) — Investor Class (FFTGX)
          → Salient Tactical Muni & Credit Fund ⇒ Class A (FLSLX) — Class C (FLSFX) — Class I2 (FLSMX) — Institutional Class (FLSIX) — Investor Class (FLSRX)
          → Salient Tactical Real Estate Fund ⇒ Class A (KSRAX) — Class B (KSRBX) — Class C (KSRCX) — Class I2 (FRLSX) — Institutional Class (KSRYX) — Investor Class (FFSRX)
          → Salient US Dividend Signal Fund ⇒ Class A (FDYAX) — Class C (FDYCX) — Class I2 (FDYMX) — Institutional Class (FDYTX) — Investor Class (FDYRX)

Post-Effective Amendment
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485APOS     Post-Effective Amendment                            HTML   6.94M 
17: CORRESP   ¶ Comment-Response or Other Letter to the SEC         HTML      6K 
 2: EX-99.(A)(2)  Schedule A to the Amended and Restated Agreement  HTML     33K 
                and Declaration of Trust                                         
 3: EX-99.(D)(1)(B)  Amended Exhibit A to the Amended and Restated  HTML     13K 
                Investment Management Agreement                                  
 4: EX-99.(D)(2)(C)  Third Amendment to the Amended and Restated    HTML     20K 
                Investment Sub-Advisory Agreement                                
 5: EX-99.(D)(7)  Investment Sub-Advisory Agreement Among the       HTML     60K 
                Registrant, the Advisor and Pimco                                
 6: EX-99.(E)(1)(B)  Amended Schedule A to the Distribution         HTML     15K 
                Agreement                                                        
 7: EX-99.(G)(1)(B)  Appendix A to the Custodian Agreement Between  HTML     17K 
                the Registrant and Citibank                                      
 8: EX-99.(H)(1)(B)  Amendment to Appendix A to the Amended and     HTML     18K 
                Restated Fund Accting and Admin Agrmt                            
 9: EX-99.(H)(2)(B)  Amendment to Schedule A to the Amd and         HTML     25K 
                Restated Transfer Agency and Service Agrm                        
10: EX-99.(H)(3)(B)  Amendment to Sch A to the Amended and          HTML     16K 
                Restated Transfer Agent Interactive Client                       
11: EX-99.(H)(4)(B)  Exhibit A to the Amended and Restated          HTML     29K 
                Shareholder Services Plan                                        
12: EX-99.(H)(8)(B)  Schedule to Amended and Restated Compliance    HTML     11K 
                Support Services Agreement                                       
13: EX-99.(M)(1)(B)  Amended Appendix A to the Service and          HTML     10K 
                Distribution Plan                                                
14: EX-99.(M)(2)(B)  Amended Appendix A to the Service and          HTML     10K 
                Distribution Plan Pursuant to Rule 12B-1                         
15: EX-99.(M)(4)(B)  Amended Appendix A to the Distribution and     HTML     10K 
                Service Plan Pursuant to Rule 12B-1                              
16: EX-99.(P)(3)  Code of Ethics of Pictet Ltd.                     HTML    166K

‘EX-99.(H)(3)(B)’   —   Amendment to Sch A to the Amended and Restated Transfer Agent Interactive Client

This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]

  Amendment to Sch A to the Amended and Restated Transfer Agent Interactive Client  

Exhibit (h)(3)(b)

Amendment to Amended and Restated Transfer Agent Interactive Client Service Agreement

Dated June 3, 2009

Between

ALPS Fund Services, Inc.

and

Forward Funds

THIS AMENDMENT is made as of December 23, 2013, by and between ALPS Fund Services, Inc. (“ALPS”) and Forward Funds (the “Fund”).

WHEREAS, ALPS and the Fund have entered into an Amended and Restated Transfer Agent Interactive Client Service Agreement (the “Agreement”) dated June 3, 2009 and effective June 15, 2009;

WHEREAS, the Board of Trustees of the Fund approved on December 12, 2013, the name change of the Forward Select Income Opportunity Fund to the Forward Select Opportunity Fund, effective December 23, 2013;

WHEREAS, in light of the foregoing, ALPS and the Fund wish to modify the provisions of the Agreement to reflect revised Schedule A – List of Portfolios.

NOW, THEREFORE, the parties hereto, intending to be legally bound, agree as follows:

 

  1. Schedule A – List of Portfolios. Schedule A is replaced in its entirety with the attached Schedule A.

 

  2. Remainder of the Agreement. All services under Article II of the Agreement shall continue until such services are no longer rendered. All other provisions of the Agreement shall remain unchanged.

IN WITNESS WHEREOF, this Amendment has been executed by a duly authorized representative of each of the parties hereto as of the date of the Amendment first set forth above.

 

ALPS Fund Services, Inc.     Forward Funds
By:  

/s/ Jeremy O. May

     By:  

/s/ Robert S. Naka

Name:   Jeremy O. May     Name:   Robert S. Naka
Title:   President     Title:   Secretary and Vice President, Funds

SCHEDULE A

To the Amended and Restated Transfer Agent Interactive Client Service Agreement

Dated as of December 23, 2013

Forward Balanced Allocation Fund

Forward Commodity Long/Short Strategy Fund

Forward Core Strategy Long/Short Fund1

Forward Credit Analysis Long/Short Fund

Forward Dynamic Income Fund

Forward EM Corporate Debt Fund

Forward Emerging Markets Fund

Forward Endurance Long/Short Fund

Forward Floating NAV Short Duration Fund1

Forward Frontier Strategy Fund

Forward Global Dividend Fund

Forward Global Infrastructure Fund

Forward Growth & Income Allocation Fund

Forward Growth Allocation Fund

Forward High Yield Bond Fund

Forward Income & Growth Allocation Fund

Forward Income Builder Fund

Forward International Dividend Fund

Forward International Real Estate Fund

Forward International Small Companies Fund

 

1  Fund has yet to commence operations.

Forward Investment Grade Fixed-Income Fund

Forward Managed Futures Strategy Fund

Forward Multi-Strategy Fund

Forward Real Estate Fund

Forward Real Estate Long/Short Fund

Forward Select EM Dividend Fund

Forward Select Income Fund

Forward Select Opportunity Fund

Forward Small Cap Equity Fund

Forward Tactical Enhanced Fund

Forward Tactical Growth Fund

Forward Total MarketPlus Fund

Forward U.S. Government Money Fund

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘485APOS’ Filing    Date    Other Filings
Filed on:2/19/14
12/23/13497K,  DEF 14C
12/12/13
6/15/09DEF 14C
6/3/09
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Filing Submission 0001193125-14-058763   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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