SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

1290 Funds, et al. – ‘485APOS’ on 12/15/16 – ‘EX-99.(H)(4)(IV)’

On:  Thursday, 12/15/16, at 4:56pm ET   ·   Private-to-Public:  Document/Exhibit  –  Release Delayed   ·   Accession #:  1193125-16-794568   ·   File #s:  811-22959, 333-195390

Previous ‘485APOS’:  ‘485APOS’ on 8/12/16   ·   Next:  ‘485APOS’ on 12/23/16   ·   Latest:  ‘485APOS’ on 12/11/23   ·   10 References:   

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

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

12/15/16  1290 Funds                        485APOS¶               5:9.2M                                   Donnelley … Solutions/FA
          → 1290 Convertible Securities Fund ⇒ Class A (TNFAX) — Class I (TNFIX) — Class R (TNFRX) — Class T (TNFCX)
          → 1290 Diversified Bond Fund ⇒ Class A (TNUAX) — Class I (TNUIX) — Class R (TNURX) — Class T (TNUCX)
          → 1290 GAMCO Small/Mid Cap Value Fund ⇒ Class A (TNVAX) — Class I (TNVIX) — Class R (TNVRX) — Class T (TNVCX)
          → 1290 Global Talents Fund ⇒ Class A (TNYAX) — Class I (TNYFX) — Class R (TNTRX) — Class T (TNYCX)
          → 1290 High Yield Bond Fund ⇒ Class A (TNHAX) — Class I (TNHIX) — Class R (TNHRX) — Class T (TNHCX)
          → 1290 Loomis Sayles Multi-Asset Income Fund ⇒ Class A (TNXAX) — Class I (TNVDX) — Class R (TNYRX) — Class T (TNXCX)
          → 1290 Low Volatility Global Equity Fund ⇒ Class A (TNZAX) — Class I (TNZIX) — Class R (TNZRX) — Class T (TNZCX)
          → 1290 Multi-Alternative Strategies Fund ⇒ Class A (TNMAX) — Class I (TNMIX) — Class R (TNMRX) — Class T (TNMCX)
          → 1290 SmartBeta Equity Fund ⇒ Class A (TNBAX) — Class I (TNBIX) — Class R (TNBRX) — Class T (TNBCX)

Post-Effective Amendment
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 485APOS     1290 Funds                                          HTML   2.79M 
 5: COVER     ¶ Comment-Response or Cover Letter to the SEC         HTML      8K 
 2: EX-99.(H)(4)(IV)  Amendment No 4 to Transfer Agency and         HTML     13K 
                Service Agreement                                                
 3: EX-99.(P)(6)(I)  Revised Code of Ethics of Tcw                  HTML     84K 
 4: EX-99.(P)(7)  Revised Code of Ethics of Pimco                   HTML     85K

‘EX-99.(H)(4)(IV)’   —   Amendment No 4 to Transfer Agency and Service Agreement

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

  Amendment No 4 to Transfer Agency and Service Agreement  

Exhibit (h)(4)(iv)

AMENDMENT No. 4

To

Transfer Agency and Service Agreement

Between

Each of the Entities, Individually and not Jointly, as Listed on Schedule A

And

Boston Financial Data Services, Inc.

This Amendment is entered into as of this 1st day of November, 2016, between Boston Financial Data Services, Inc. (the “Transfer Agent”) and Each of the Entities, Individually and not Jointly, as listed on Schedule A (collectively, the “Funds” and individually, the “Fund”). In accordance with Section 16.1 (Amendment) and Section 17 (Additional Portfolios/Funds) of the Transfer Agency and Service Agreement between the parties dated October 29, 2014, as amended (the “Agreement”), the parties desire to amend the Agreement as set forth herein.

NOW THEREFORE, the parties agree as follows:

 

  1.

Schedule A. The current Schedule A to the Agreement is hereby replaced and superseded with the Schedule A attached hereto, effective as of November 1, 2016; and

 

  2.

All defined terms and definitions in the Agreement shall be the same in this Amendment (the “November 1, 2016 Amendment”) except as specifically revised by this Amendment; and

 

  3.

Except as specifically set forth in this November 1, 2016 Amendment, all other terms and conditions of the Agreement shall remain in full force and effect.

IN WITNESS WHEREOF, the parties hereto have caused this November 1, 2016 Amendment to be executed by a duly authorized officer on one or more counterparts as of the date and year first written above.

 

  EACH OF THE ENTITIES,

  INDIVIDUALLY AND NOT JOINTLY, AS

  LISTED ON SCHEDULE A

    

  BOSTON FINANCIAL DATA

  SERVICES, INC.

  By: /s/ Steven M. Joenk

    

  By: /s/ Richard J. Johnson

  Name: Steven M. Joenk

    

  Name: Richard J. Johnson

  Title:    Chairman, President and Chief

               Executive Officer

    

  Title: Managing Director

 

As an Authorized Officer on behalf of each of the Funds indicated on Schedule A

    

  1290 Funds

SCHEDULE A

Effective Date: November 1, 2016

 

Fund

   

Type of Entity

   

Jurisdiction

1290 Funds

   

Statutory Trust

   

Delaware

1290 Convertible Securities Fund

1290 DoubleLine Dynamic Allocation Fund

1290 GAMCO Small/Mid Cap Value Fund

1290 Global Allocation Fund

1290 Global Talents Fund

1290 High Yield Bond Fund

1290 Multi-Alternative Strategies Fund

1290 SmartBeta Equity Fund

1290 Unconstrained Bond Managers Fund

1290 Funds

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘485APOS’ Filing    Date    Other Filings
Filed on:12/15/16485BXT
11/1/16485BPOS
10/29/14
 List all Filings 

10 Subsequent Filings that Reference this Filing

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

 2/22/24  1290 Funds                        485BPOS     3/01/24   48:93M                                    Donnelley … Solutions/FA
 2/07/24  1290 Funds                        485BXT                 2:416K                                   Donnelley … Solutions/FA
12/11/23  1290 Funds                        485APOS               53:44M                                    Donnelley … Solutions/FA
 2/23/23  1290 Funds                        485BPOS     3/01/23   58:95M                                    Donnelley … Solutions/FA
 2/01/23  1290 Funds                        485BXT                 1:270K                                   Donnelley … Solutions/FA
12/12/22  1290 Funds                        485APOS               15:14M                                    Donnelley … Solutions/FA
 7/08/22  1290 Funds                        485BPOS     7/11/22   27:22M                                    Donnelley … Solutions/FA
 4/25/22  1290 Funds                        485APOS                6:13M                                    Donnelley … Solutions/FA
 2/24/22  1290 Funds                        485BPOS     3/01/22   52:57M                                    Donnelley … Solutions/FA
 2/25/21  1290 Funds                        485BPOS     3/01/21  149:49M                                    Donnelley … Solutions/FA
↑Top
Filing Submission 0001193125-16-794568   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Fri., May 17, 6:41:14.2pm ET