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¶ – Release Delayed ·
— Document/Exhibit Description Pages Size
1: 485APOS Post-Effective Amendment HTML 2.84M
23: CORRESP ¶ Comment-Response or Other Letter to the SEC HTML 26K
2: EX-99.(A)(2) Revised Schedule A HTML 19K
3: EX-99.(D)(1) Amended and Restated Investment Management HTML 50K
Agreement
4: EX-99.(D)(11) Investment Sub-Advisory Agreement HTML 53K
5: EX-99.(H)(3)(E) Revised Exhibit A-1 and Exhibit B-1 HTML 45K
6: EX-99.(H)(4)(A) Amended and Restated Shareholder Services HTML 18K
Plan
7: EX-99.(H)(5)(A) Expense Limitation Agreement for the Forward HTML 18K
Int'L Equity(Investor Class Shares)
8: EX-99.(H)(5)(B) Expense Limitation Agreement for the Forward HTML 18K
Int'L Equity (Inst'L Class Shares)
9: EX-99.(H)(5)(C) Expense Limitation Agreement - Forward Global HTML 18K
Emerging Markets Fund (Investor)
10: EX-99.(H)(5)(D) Expense Limitation Agreement - Forward Global HTML 18K
Emerging Markets (Institutional)
11: EX-99.(H)(5)(E) Expense Limitation Agreement - Forward Legato HTML 18K
Fund (Institutional)
12: EX-99.(H)(5)(F) Expense Limitation Agreement - Forward Legato HTML 18K
Fund (Class A)
13: EX-99.(H)(5)(G) Expense Limitation Agreement - Forward Large HTML 18K
Cap Equity (Class A)
14: EX-99.(H)(5)(H) Expense Limitation Agreement - Forward Large HTML 18K
Cap Equity (Investor Class)
15: EX-99.(H)(5)(I) Expense Limitation Agreement - Forward Large HTML 18K
Cap Equity (Institutional)
16: EX-99.(H)(5)(X) Expense Limitation Agreement - Forward HTML 18K
Long/Short Credit Analysis Fund (Class A)
17: EX-99.(H)(5)(Y) Expense Limitation Agreement - Forward HTML 18K
Long/Short Credit Analysis (Class C)
18: EX-99.(M)(3) Distribution Services Agreement (Rule 12B-1 HTML 21K
Plan)
19: EX-99.(M)(4)(B) Amended Appendix A to the Distribution Plan HTML 11K
(Investor Class)
20: EX-99.(M)(5)(B) Amended Appendix A to the Distribution Plan HTML 11K
(Class A)
21: EX-99.(M)(7)(B) Amended Appendix A to the Distribution Plan HTML 11K
(Class C)
22: EX-99.(N) Multiple Class Plan Pursuant to Rule 18F-3 HTML 24K
| Expense Limitation Agreement - Forward Large Cap Equity (Class A) |
Exhibit (h)(5)(g) Expense Limitation Agreement for the Forward Large Cap Equity Fund (Class A shares)
EXPENSE LIMITATION AGREEMENT
FOR
FORWARD LARGE CAP EQUITY FUND
(CLASS A SHARES)
THIS AGREEMENT, dated as of February 1, 2008, is made and entered into by and between Forward Funds, a Delaware statutory trust (the “Trust”), on behalf of the Class A shares of its series, Forward Large Cap Equity Fund (the “Fund”), and Forward Management, LLC (the “Investment Advisor”).
WHEREAS, the Investment Advisor has been appointed the investment advisor of the Fund pursuant to an Investment Management Agreement dated May 1, 2005, between the Trust, on behalf of the Fund, and the Investment Advisor (the “Advisory Agreement”); and
WHEREAS, the Trust and the Investment Advisor desire to enter into the arrangements described herein relating to certain expenses of the Class A shares of the Fund;
NOW, THEREFORE, the Trust and the Investment Advisor hereby agree as follows:
1. The Investment Advisor agrees, subject to Section 2 hereof, to reduce the fees payable to it under the Advisory Agreement (but not below zero) and to reimburse expenses to the Fund to the extent necessary to limit the operating expenses of the Class A shares of the Fund (exclusive of brokerage costs, interest, taxes and dividend and extraordinary expenses) as follows:
For the period from the date of this Agreement until April 30, 2008, the Investment Advisor shall limit its fee or otherwise reimburse the Fund so that the operating expenses of the Class A shares of the Fund shall be limited to an annual rate (as a percentage of the Fund’s average daily net assets) of 1.34%.
2. The Fund agrees to pay to the Investment Advisor the amount of fees that, but for Section 1 hereof, would have been payable by the Fund to the Investment Advisor pursuant to the Advisory Agreement (the “Waived Fees”) and to pay to the Investment Advisor the amount of expenses reimbursed by the Investment Advisor under Section 1 hereof (the “Reimbursed Expenses”) for a period of three years following the year in which the expense was incurred, subject to the limitations provided in this Section. Such payment shall be made monthly, but only if the operating expenses of the Class A shares of the Fund (exclusive of brokerage costs, interest, taxes and dividend and extraordinary expenses), without regard to such payment, are at an annual rate (as a percentage of the average daily net assets) of 1.34% or less. Furthermore, the amount of Waived Fees and Reimbursed Expenses paid by the Class A shares of the Fund in any month shall be limited so that the sum of (a) the amount of such payment and (b) the other operating expenses of the Class A shares of the Fund (exclusive of brokerage costs, interest, taxes and extraordinary expenses) does not exceed the lower of 1.34% or the expense limitation
rate, if any, for the Fund that is in existence at the time of the payment. In no event will the Class A shares of the Fund be obligated to pay any fees waived or deferred by the Investment Advisor or any expenses reimbursed by the Investment Advisor with respect to any other class or series of the Trust.
3. The Investment Advisor may elect in its discretion to terminate any fee waiver or expense reimbursement for any period following the date of expiration of this agreement, but no such termination shall affect the obligation (including the amount of the obligation) of the Fund to repay amounts of Waived Fees or Reimbursed Expenses with respect to periods prior to such termination.
4. A copy of the Certificate of Statutory Trust establishing the Trust is on file with the Secretary of State of Delaware, and notice is hereby given that this Agreement is executed by the Trust on behalf of the Fund by an officer of the Trust as an officer and not individually and that the obligations of or arising out of this Agreement are not binding upon any of the Trustees, officers or shareholders individually but are binding only upon the assets and property belonging to the Fund.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date first above written.
Forward Funds
on behalf of its series
| Forward Large Cap Equity Fund (Class A shares) |
Forward Management, LLC | |||||||
| By: | /s/ J. Alan Reid, Jr. | By: | /s/ Mary Curran | |||||
| Name: | J. Alan Reid, Jr. | Name: | Mary Curran | |||||
| Title: | President | Title: | Secretary | |||||
| This ‘485APOS’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 4/30/08 | None on these Dates | |||
| Filed on: | 2/13/08 | |||
| 2/1/08 | ||||
| 5/1/05 | ||||
| List all Filings | ||||