Filed On 1/28/02 · SEC Files 2-25383, 811-01383 · Accession Number 950134-2-629
As Of Filer Filing As/For/On Docs:Pgs Issuer Agent
1/28/02 Berger Large Cap Growth Fund 485BPOS 1/28/02 8:130 Bowne of Dallas I..01/FA
Berger Large Cap Growth Fund
Post-Effective Amendment
Filing Table of Contents
Document/Exhibit Description Pages Size
1: 485BPOS Post-Effective Amendment No. 55 to Form N-1a 116 662K
2: EX-99.B.23(D)1A Form of Amendment to Investment Advisory 2± 9K
Agreement
3: EX-99.B.23(D)1B Form of Amendment to Investment Advisory 2± 10K
Agreement
4: EX-99.B.23(G)2B Form of Amendment to Custody Agreement 2± 9K
5: EX-99.B.23(G)3C Form of 2nd Amendment to Retirement Plan 3 13K
Custody
6: EX-99.B.23(H)2C Form of 2nd Amendment for Recordkeeping & 2 12K
Pricing
7: EX-99.B.23(H)2D Form of 4th Amendment for Recordkeeping & 2± 9K
Pricing
8: EX-99.B.23(J) Consent of Pricewaterhousecoopers Llp 1 7K
EX-99.B.23(G)3C · Form of 2nd Amendment to Retirement Plan Custody
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SECOND AMENDMENT TO
RETIREMENT PLAN CUSTODIAL SERVICES AGREEMENT
This Second Amendment is made as of August 1, 2001, by and between
State Street Bank and Trust Company ("State Street") and each registered
investment company listed on Schedule A hereto as it may be amended from time to
time (herein referred to individually and collectively as the "Company" or
"Companies").
WHEREAS State Street and the Companies entered into a Retirement Plan
Custodial Services Agreement dated November 17, 2000 (the "RPCSA"); and
WHEREAS, the Companies desire to use electronic records and electronic
signatures as permitted by applicable federal and state laws for the
establishment, administration, and retention of records for Plans (as defined in
the RPCSA) and Plan accounts; and
WHEREAS, the parties desire to exercise their reserved right to amend
the RPCSA, pursuant to paragraph 13 of the RPCSA, in order to permit the use of
such electronic records and electronic signatures;
NOW, THEREFORE, in consideration of the mutual covenants contained
herein, the parties agree to amend the RPCSA, by adding new paragraphs 19, 20
and 21 which shall read as follows:
19. Company shall comply with all requirements of the Electronic
Signatures in Global and National Commerce Act effective October 1,
2000, and other state and federal laws, regulations and regulatory
interpretations in effect from time to time that pertain to electronic
contracts, notices, disclosures and other documents and records and
electronic signatures, to the extent Company determines to utilize the
same in connection with establishing and administering Plans and
associated accounts.
20. Company agrees to provide to each Plan all notices and other
information which State Street is required to provide with regard to
the Plans. Such notices and information shall be provided in physical
and electronic form, including postings on Company's website, as
required in order to comply with applicable state and federal laws,
rules and regulations and regulatory interpretations.
21. Company shall maintain the confidentiality of any customer
information related to a Plan or its participants, and shall provide
adequate security to protect against any unauthorized access to such
information or to the account of any Plan, whether such accounts and
information are maintained and accessed in electronic or physical form.
State Street shall have no responsibility for, and Company agrees,
except to the extent (if any) prohibited by ERISA, to indemnify and
hold harmless State Street from and against, any and all losses,
liabilities, claims, demands, actions, suits and expenses (including
reasonable attorneys' fees and penalties and other sums assessed by any
Government Authority) arising out of or resulting from any unauthorized
access to such accounts and information.
1
In all other respects the provisions of the RPCSA are hereby ratified
and confirmed.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be
executed by their respective, duly authorized officers.
STATE STREET BANK AND THE FUNDS LISTED ON SCHEDULE A
TRUST COMPANY
By: By:
--------------------------------- ----------------------------------
Name: Name: Jack R. Thompson
-------------------------------
Title: Title: President
------------------------------
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SCHEDULE A
LIST OF INVESTMENT COMPANIES (February 1, 2001)
Berger Growth Fund, Inc., a Maryland corporation
Berger Large Cap Growth Fund, Inc., a Maryland corporation
Berger Investment Portfolio Trust, a Delaware business trust
Series: Berger Mid Cap Growth Fund
Berger Mid Cap Value Fund
Berger Small Company Growth Fund
Berger New Generation Fund
Berger Select Fund
Berger Balanced Fund
Berger Information Technology Fund
Berger Worldwide Funds Trust, a Delaware business trust
Series: Berger International Fund
Berger International CORE Fund
International Equity Fund
Berger Omni Investment Trust, a Massachusetts business trust
Series: Berger Small Cap Value Fund
3
Dates Referenced Herein and Documents Incorporated By Reference
| Referenced-On Page |
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| This 485BPOS Filing | | Date | | First | | Last | | | Other Filings |
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| |  |
| | 10/1/00 | | 1 |
| | 11/17/00 | | 1 |
| | 2/1/01 | | 3 |
| | 8/1/01 | | 1 |
| Filed On / Filed As Of / Effective As Of | | 1/28/02 |
| |
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