Exhibit (h)(7)Expense Limitation Agreement • April 23rd, 2007 • Phoenix Asset Trust • Delaware
TRANSFER AGENCY AND SERVICE AGREEMENT TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • June 14th, 2002 • Kayne Anderson Rudnick Mutual Funds • Connecticut
SUBADVISORY AGREEMENT PHOENIX ASSET TRUST PHOENIX RISING DIVIDENDS FUND PHOENIX SMALL-MID CAP FUND SUBADVISORY AGREEMENT ---------------------Subadvisory Agreement • April 23rd, 2007 • Phoenix Asset Trust • Delaware
FORM OF UNDERWRITING AGREEMENTUnderwriting Agreement • June 14th, 2002 • Kayne Anderson Rudnick Mutual Funds • Connecticut
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF PHOENIX ASSET TRUSTPhoenix Asset Trust • April 23rd, 2007 • Delaware
EXHIBIT m.1 CLASS A SHARESKayne Anderson Rudnick Mutual Funds • June 14th, 2002
FOURTH AMENDMENT TO AMENDED AND RESTATED FINANCIAL AGENT AGREEMENTFinancial Agent Agreement • April 26th, 2006 • Phoenix-Kayne Funds
Exhibit h.3Phoenix-Kayne Funds • April 25th, 2005
Exhibit g.4Master Custodian Contract • April 25th, 2005 • Phoenix-Kayne Funds
VIRTUS ASSET TRUST Virtus SGA International Growth Fund SUBADVISORY AGREEMENTSubadvisory Agreement • April 27th, 2020 • Virtus Asset Trust • Delaware
Virtus Asset Trust (the “Trust”) is an open-end investment company of the series type registered under the Investment Company Act of 1940, as amended (the “Act”), and is subject to the rules and regulations promulgated thereunder. The shares of the Trust are offered or may be offered in several series, including Virtus SGA International Growth Fund (sometimes hereafter referred to as the “Series”).
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF VIRTUS ASSET TRUSTAgreement and Declaration • June 22nd, 2017 • Virtus Asset Trust • Delaware
WHEREAS, there exists a certain Agreement and Declaration of Trust entitled Virtus Asset Trust (“Original Agreement”); and
WITNESSETH:Operating Expenses Agreement • April 30th, 1999 • Kayne Anderson Mutual Funds • California
SECURITIES LENDING AUTHORIZATION AGREEMENTSecurities Lending Authorization Agreement • April 26th, 2006 • Phoenix-Kayne Funds • Massachusetts
Exhibit (d)(1)Exhibit • April 23rd, 2007 • Phoenix Asset Trust • Delaware
AMENDMENT TO SCHEDULE A of ADMINISTRATION AGREEMENTAdministration Agreement • October 17th, 2007 • Phoenix Equity Series Fund
THIS AMENDMENT made effective as of the 27th day of June, 2007 amends that certain administration agreement, dated as of July 1, 2006 between the trusts listed on Schedule A (each, a “Trust” and together the “Trusts”) including the funds listed under each Trust (each, a “Fund” and together the “Funds”) and Phoenix Equity Planning Corporation, a Connecticut Corporation (the “Administration Agreement”) as herein below provided.
Exhibit (m)(3) CLASS C SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PHOENIX ASSET TRUST (the "Fund") CLASS C SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Phoenix Asset Trust • April 23rd, 2007
Exhibit g.3 AMENDMENT TO MASTER CUSTODIAN AGREEMENT 7-02-2001 AMENDMENT TO MASTER CUSTODIAN CONTRACT This Amendment to the Master Custodian Contract is made effective as of July 2, 2001 by and between each party listed on Appendix 1 affixed to the...Master Custodian Agreement • April 25th, 2005 • Phoenix-Kayne Funds
DISTRIBUTION AGREEMENT This Agreement made this 1st day of October, 2001 by and between KAYNE ANDERSON RUDNICK MUTUAL FUNDS, a Delaware business trust (the "Trust"), and QUASAR DISTRIBUTORS, LLC, a Wisconsin limited liability company (the...Distribution Agreement • May 1st, 2002 • Kayne Anderson Rudnick Mutual Funds • California
PHOENIX ASSET TRUST Phoenix Rising Dividends Fund Phoenix Small-Mid Cap Fund SUBADVISORY AGREEMENT September 1, 2006 Kayne Anderson Rudnick Investment Management, LLC 1800 Avenue of the Stars, 2nd Floor Los Angeles, CA 90067 RE: Subadvisory Agreement...Phoenix Asset Trust • March 1st, 2007 • Delaware
VIRTUS ASSET TRUST VIRTUS CEREDEX LARGE CAP VALUE EQUITY FUND VIRTUS CEREDEX MID-CAP VALUE EQUITY FUND VIRTUS CEREDEX SMALL CAP VALUE EQUITY FUND SUBADVISORY AGREEMENT June 20, 2017Virtus Asset Trust • June 22nd, 2017 • Virtus Asset Trust • Delaware
Virtus Asset Trust (the “Trust”) is an open-end investment company of the series type registered under the Investment Company Act of 1940, as amended (the “Act”), and is subject to the rules and regulations promulgated thereunder. The shares of the Trust are offered or may be offered in several series, including Virtus Ceredex Large Cap Value Equity Fund, Virtus Ceredex Mid-Cap Value Equity Fund and Virtus Ceredex Small Cap Value Equity Fund (collectively, sometimes hereafter referred to as the “Series”).
SECOND AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • July 23rd, 2018 • Virtus Asset Trust • Delaware
This Second Amended and Restated Expense Limitation Agreement (the “Agreement”), effective as of July 23, 2018, amends and restates that certain First Amended and Restated Expense Limitation Agreement effective as of September 18, 2017, by and between Virtus Asset Trust, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Virtus Fund Advisers, LLC, a Delaware corporation (the “Adviser”).
TENTH AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • April 26th, 2021 • Virtus Asset Trust • Delaware
This Tenth Amended and Restated Expense Limitation Agreement (the “Agreement”), effective as of December 1, 2020, amends and restates that certain Ninth Amended and Restated Expense Limitation Agreement effective as of October 19, 2020, by and between Virtus Asset Trust, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Virtus Fund Advisers, LLC, a Delaware corporation (the “Adviser”).
Form of Amendment To Sub-Transfer Agency And Shareholder Services AgreementShareholder Services Agreement • April 25th, 2019 • Virtus Asset Trust
This Amendment To Sub-Transfer Agency And Shareholder Services Agreement, dated as of March 22, 2019 ("Amendment"), is being entered into by and among BNY Mellon Investment Servicing (US) Inc. ("BNYM"), Virtus Fund Services, LLC ("Company") and each of the "Funds", which is hereby defined to mean each of the Investment Companies and each Portfolio of each such Investment Company listed on Schedule B to the Amended Agreement (as defined below).
SUB-TRANSFER AGENCY AND SERVICE AGREEMENT between PHOENIX EQUITY PLANNING CORPORATION and STATE STREET BANK AND TRUST COMPANYSub-Transfer Agency and Service Agreement • June 14th, 2002 • Kayne Anderson Rudnick Mutual Funds • Massachusetts
Virtus Mutual Funds and Available Share ClassesVirtus Asset Trust • April 25th, 2022
*The Virtus KAR Small-Cap Core Fund and the Virtus KAR Small-Cap Growth Fund are no longer available for purchases to new investors, subject to limited exceptions. These funds continue to be available for purchases by existing investors. See the prospectus and SAI for possible exceptions and additional information.
Virtus Mutual Funds Sales Agreement Amended Annex A – January 2023 VP Distributors, LLCVirtus Asset Trust • April 24th, 2023
*The Virtus KAR Small-Cap Core Fund and the Virtus KAR Small-Cap Growth Fund are no longer available for purchases to new investors, subject to limited exceptions. These funds continue to be available for purchases by existing investors. See the prospectus and SAI for possible exceptions and additional information.
SIXTEENTH AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT VIRTUS ASSET TRUSTExpense Limitation Agreement • January 25th, 2024 • Virtus Asset Trust • Delaware
This Sixteenth Amended and Restated Expense Limitation Agreement (the “Agreement”), effective as of February 23, 2024, amends and restates that certain Fifteenth Amended and Restated Expense Limitation Agreement effective as of January 1, 2024, by and between Virtus Asset Trust, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Virtus Fund Advisers, LLC, a Delaware corporation (the “Adviser”).
FORM OF JOINDER AGREEMENT AND AMENDMENT TO THE INDEMNIFICATION AGREEMENTThe Indemnification Agreement • June 22nd, 2017 • Virtus Asset Trust
This Joinder Agreement and Amendment to the Indemnification Agreement (this “Amendment”) is effective as of February 27, 2017 by and between (i) each trust whose name is set forth on the signature page (each such trust hereafter referred to as the “Trust”), acting on behalf of itself and each of its portfolio series, whether existing on the date hereof (as listed on Appendix A hereto) or subsequently established (the “Series”) and (ii) the trustee of the Trust whose name is set forth on the signature page (the “Trustee”).
One Financial Plaza Hartford, CT 06103 800.248.7971 VIRTUS.COMSales Agreement • February 22nd, 2019 • Virtus Asset Trust • Connecticut
VP Distributors, LLC ("VPD", "we", "us", or "our") invites you to participate in the sale and distribution of shares of registered investment companies for which we are national distributor or principal underwriter, as listed in Annex A hereto (which such Annex may be amended by us from time to time in our sole discretion) (which shall collectively be referred to hereinafter as the "Funds"). Upon acceptance of this Sales Agreement (“Agreement”) by VPD, you may offer and sell shares of each of the Funds (hereafter "Shares") subject, however, to the terms and conditions hereof including our right to suspend or cease the sale of any such Shares at any time. For the purposes hereof, the above referenced dealer shall be referred to as "you".
UNDERWRITING AGREEMENTUnderwriting Agreement • June 22nd, 2017 • Virtus Asset Trust • Delaware
THIS AGREEMENT made as of this 12th day of June, 2017, by and between Virtus Asset Trust, a Delaware statutory trust having a place of business located at 101 Munson Street, Greenfield, Massachusetts (the “Fund”) and VP Distributors, LLC, a Delaware limited liability company having a place of business located at 100 Pearl Street, Hartford, Connecticut 06103 (the “Underwriter”).
TWELFTH AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • April 25th, 2022 • Virtus Asset Trust • Delaware
This Twelfth Amended and Restated Expense Limitation Agreement (the “Agreement”), effective as of December 1, 2021, amends and restates that certain Eleventh Amended and Restated Expense Limitation Agreement effective as of April 26, 2021, by and between Virtus Asset Trust, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Virtus Fund Advisers, LLC, a Delaware corporation (the “Adviser”).
PHOENIX ASSET TRUST (the "Fund") CLASS B SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Phoenix Asset Trust • April 23rd, 2007
Exhibit (m)(1) CLASS A SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PHOENIX ASSET TRUST (the "Fund") CLASS A SHARES AMENDED AND RESTATED DISTRIBUTION PLAN PURSUANT TO RULE 12b-1 under the INVESTMENT COMPANY ACT OF 1940Phoenix Asset Trust • April 23rd, 2007
FIRST AMENDMENT TO SECURITIES LENDING AUTHORIZATION AGREEMENT BETWEEN EACH TRUST LISTED ON SCHEDULE B HERETO, ON BEHALF OF EACH RESPECTIVE SERIES OF EACH SUCH TRUST, SEVERALLY AND NOT JOINTLY, AS SET FORTH ON SCHEDULE B AND STATE STREET BANK AND TRUST...Phoenix-Kayne Funds • April 26th, 2006 • Massachusetts
FORM OF FOURTH AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • February 22nd, 2019 • Virtus Asset Trust • Delaware
This Fourth Amended and Restated Expense Limitation Agreement (the “Agreement”), effective as of February 25, 2019, amends and restates that certain Third Amended and Restated Expense Limitation Agreement effective as of December 1, 2018, by and between Virtus Asset Trust, a Delaware statutory trust (the “Registrant”), on behalf of each series of the Registrant listed in Appendix A (each a “Fund” and collectively, the “Funds”) and the Adviser of each of the Funds, Virtus Fund Advisers, LLC, a Delaware corporation (the “Adviser”).
