AGREEMENT AND DECLARATION OF TRUST ofAgreement and Declaration of Trust • December 11th, 2007 • Dunham Funds • Delaware
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENTDunham Funds Sub-Advisory Agreement • April 18th, 2023 • Dunham Funds • California
This AGREEMENT is dated March 21, 2023 and effective on or about May 1, 2023 among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and PGIM QUANTITATIVE SOLUTIONS LLC, a New Jersey limited liability company(the “Sub-Adviser”) (each a “Party,” and together, the “Parties”).
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 22nd, 2008 • Dunham Funds • California
AGREEMENT among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the "Adviser"), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) on behalf of its series Dunham Real Estate Stock Fund (the “Fund”), and TEN ASSET MANAGEMENT, INC, a State of California Corporation (the "Sub-Adviser") (each a “Party,” and together, the “Parties”).
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENTSub-Advisory Agreement • March 4th, 2008 • Dunham Funds • California
AGREEMENT among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the "Adviser"), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) on behalf of its series Dunham Corporate/Government Bond Fund (the “Fund”), and SCM ADVISORS LLC, a State of California Limited Liability Corporation (the "Sub-Adviser") (each a “Party,” and together, the “Parties”).
INVESTMENT ADVISORY AGREEMENT between DUNHAM FUNDS and DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.Investment Advisory Agreement • February 22nd, 2008 • Dunham Funds • California
AGREEMENT made this 15th day of January, 2008, by and between DUNHAM FUNDS, a Delaware business trust (the "Trust"), on behalf of each of its series listed on Schedule A hereto, and DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a corporation organized under the laws of the State of California (the "Adviser").
TRANSFER AGENCY AND SERVICE AGREEMENT between the DUNHAM FUNDS and GEMINI FUND SERVICES, LLCTransfer Agency and Service Agreement • February 22nd, 2008 • Dunham Funds • New York
AGREEMENT made the 15th day of January 2008, by and between the Dunham Funds, a Delaware Business Trust, having its principal office and place of business at 10251 Vista Sorrento Parkway, Suite 200, San Diego, CA 92121 (the "Trust"), and Gemini Fund Services, LLC., a Nebraska limited liability company having its principal office and place of business at 4020 South 147th Street, Omaha, Nebraska 68137 (“GFS”).
CLASS C DISTRIBUTION PLAN AND AGREEMENT PURSUANT TO RULE 12B-1 UNDER THE INVESTMENT COMPANY ACT OF 1940Distribution Plan and Agreement • February 22nd, 2008 • Dunham Funds
PLAN AND AGREEMENT made as of January 15, 2008 by and between Dunham Funds (the "Trust"), and the distributor for Dunham Funds, Dunham & Associates Investment Counsel, Inc. (the “DISTRIBUTOR”).
UNDERWRITING AGREEMENT Between DUNHAM FUNDS and DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.Underwriting Agreement • February 22nd, 2008 • Dunham Funds • California
AGREEMENT made this 15th day of January 2008, by and between DUNHAM FUNDS, a Delaware business trust, having its principal office and place of business at 10251 Vista Sorrento Parkway, Suite 200, San Diego, CA 92121 (the “TRUST”) on behalf of its separate series, The Dunham Funds, and DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation having its principal office and place of business at 10251 Vista Sorrento Parkway, Suite 200, San Diego, CA 92121 (“DISTRIBUTOR”).
ADMINISTRATIVE SERVICES AGREEMENT between the DUNHAM FUNDS and GEMINI FUND SERVICES, LLCAdministrative Services Agreement • February 22nd, 2008 • Dunham Funds • New York
AGREEMENT made the 15th day of January 2008, by and between the Dunham Funds, a Delaware Business Trust, having its principal office and place of business 10251 Vista Sorrento Parkway, Suite 200, San Diego, CA 92121 (the "Trust"), and Gemini Fund Services, LLC, a Nebraska limited liability company having its principal office and place of business at the 450 Wireless Boulevard, Hauppauge, New York 11788 (the “Administrator").
AMENDMENT TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 20th, 2015 • Dunham Funds
This Amendment is made effective as of the 16th day of December 2014, (the “Effective Date”) to the Sub-Advisory Agreement by and among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and PENN CAPITAL MANAGEMENT COMPANY, INC., a State of Pennsylvania Corporation (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”) dated July 1, 2013 (the “Agreement”).
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENTThe Dunham Funds Sub-Advisory Agreement • July 29th, 2008 • Dunham Funds • California
AGREEMENT dated May 8, 2008, and effective May 14, 2008, among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and WESTCHESTER CAPITAL MANAGEMENT, INC., a New York corporation (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”).
AMENDMENT TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 20th, 2015 • Dunham Funds
This Amendment is made effective as of the 16th day of December 2014, (the “Effective Date”) to the Sub-Advisory Agreement by and among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and NEWFLEET ASSET MANAGEMENT, LLC., a State of Connecticut Limited Liability Corporation (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”) dated November 1, 2013 (the “Agreement”).
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENTDunham Funds • March 4th, 2008 • Dunham Funds • California
AGREEMENT dated January 15, 2008, and effective March 1, 2008, among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the "Adviser"), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and VAN ECK ASSOCIATES CORPORATION, a Delaware corporation (the "Sub-Adviser") (each a “Party,” and together, the “Parties”).
AMENDMENT TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 27th, 2019 • Dunham Funds
This Amendment is made effective as of the 28th day of February 2019, (the “Effective Date”) to the Sub-Advisory Agreement by and among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and NEWFLEET ASSET MANAGEMENT LLC, a State of Delaware limited liability company (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”) dated September 17, 2013 (the “Agreement”).
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENTThe Dunham Funds Sub-Advisory Agreement • December 29th, 2017 • Dunham Funds • Delaware
This AGREEMENT is dated February 28, 2017, and effective, except with regard to Section 15, which shall become effective on the date hereof, on April 1, 2017, among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP, a Delaware Limited Partnership (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”).
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • August 8th, 2008 • Dunham Funds • Delaware
THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 15th day of May, 2008, by and between Kelmoore Strategy Fund, Kelmoore Strategy Eagle Fund, Kelmoore Strategy Liberty Fund (the “Transferring Funds” and each a "Transferring Fund"), each a series of Kelmoore Strategic Trust (the “Trust”) and the Dunham Monthly Distribution Fund (the "Acquiring Fund"), a series of Dunham Funds (“Dunham”). The Kelmoore Strategic Trust is a Delaware statutory trust, with its principal place of business at 2465 East Bayshore Road, Suite 300, Palo Alto, CA 94303. Dunham is a Delaware statutory trust, with its principal place of business at 10251 Vista Sorrento Parkway, Suite 200 San Diego, CA 92121.
SPECIAL CUSTODY AND PLEDGE AGREEMENT (Short Sales)Special Custody and Pledge Agreement • December 29th, 2010 • Dunham Funds • New York
AGREEMENT, (hereinafter "Agreement") dated as of August 11, 2010 among DUNHAM FUNDS ON BEHALF OF DUNHAM MONTHLY DISTRIBUTION FUND ("Customer"), GOLDMAN, SACHS & CO., a New York limited partnership ("Broker"), WESTCHESTER CAPITAL MANAGEMENT, INC. ("Manager") and U.S. BANK NATIONAL ASSOCIATION as Custodian hereunder ("Custodian").
SHAREHOLDER SERVICING PLAN AND AGREEMENTShareholder Servicing Plan and Agreement • February 22nd, 2013 • Dunham Funds
SHAREHOLDER SERVICING PLAN AND AGREEMENTShareholder Servicing Plan and Agreement • April 18th, 2023 • Dunham Funds
May 14, 2008 to add Dunham Monthly Distribution Fund; March 23, 2010 to add Dunham Loss Averse Growth Fund (now named Dunham Dynamic Macro Fund); September 20, 2011 to add Dunham Focused Large Cap Growth Fund; June 19, 2012 to add Dunham Alternative Income Fund; December 18, 2012 to add Dunham Alternative Strategy Fund; September 17, 2013 to add Dunham Floating Rate Bond Fund and Dunham International Opportunity Bond Fund; June 21, 2016 to add Dunham Alternative Dividend Fund and to delete Dunham Large Cap Growth Fund and Dunham Alternative Income Fund; March 21, 2023 to add Dunham U.S. Enhanced Market Fund, to delete Dunham Alternative Strategy Fund and Dunham Alternative Dividend Fund, and to update the name of the Dunham Long/Short Credit Fund from the Dunham Appreciation & Income Fund.
SPECIAL CUSTODY AND PLEDGE AGREEMENTSpecial Custody and Pledge Agreement • March 1st, 2021 • Dunham Funds • New York
THIS AMENDMENT, dated as of March 23, 2020 (the "Amendment"), between BARCLAYS BANK PLC ("Secured Party"), U.S. Bank, National Association (“U.S. Bank”), as Custodian hereunder (“Custodian”), and DUNHAM FUNDS, on behalf of each Fund listed on Exhibit A (as defined below), separately and not jointly (each, a "Pledgor").
DUNHAM FUNDS FIFTH AMENDMENT TO THE CUSTODY AGREEMENTCustody Agreement • October 16th, 2013 • Dunham Funds
THIS FIFTH AMENDMENT dated as of this 30th day of August, 2013, to the Custody Agreement dated as of March 30, 2010, as amended November 28, 2011, June 30, 2011, August 31, 2012 and January 24, 2013 (the “Agreement”) is entered into by and between DUNHAM FUNDS, a Delaware business trust (the “Trust”), and U.S. BANK, N.A. a national banking association (the "Custodian").
Underwriting Agreement Schedule AUnderwriting Agreement • August 31st, 2012 • Dunham Funds
DUNHAM FUNDS SIXTH AMENDMENT TO THE CUSTODY AGREEMENTCustody Agreement • August 29th, 2016 • Dunham Funds
THIS SIXTH AMENDMENT effective as of August 30, 2016, to the Custody Agreement dated as of March 30, 2010, as amended November 28, 2011, June 30, 2011, August 31, 2012, January 24, 2013 and August 30, 2013 (the “Agreement”), is entered into by and between DUNHAM FUNDS, a Delaware business trust (the “Trust”), and U.S. BANK, N.A. a national banking association (the "Custodian").
AMENDMENT NO. 3 TO ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • February 27th, 2019 • Dunham Funds
THIS AMENDMENT NO. 3 TO ADMINISTRATIVE SERVICES AGREEMENT (this "Amendment") is effective as of June 1, 2018, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company ("GFS"), and Dunham Funds, a Delaware statutory trust (the "Trust").
THIS AMENDMENT NO. 5 TO ADMINISTRATIVE SERVICES AGREEMENTAdministrative Services Agreement • March 1st, 2021 • Dunham Funds
(this “Amendment”) is effective as of January 1, 2020, and is made by and between Gemini Fund Services, LLC, a Nebraska limited liability company (“GFS”), and Dunham Funds, a Delaware statutory trust (the “Trust”).
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENT 5/26/2015Dunham Funds Sub • February 23rd, 2016 • Dunham Funds • California
This AGREEMENT is dated May 26, 2015, and effective on or about July 1, 2015, among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and ROTHSCHILD ASSET MANAGEMENT INC., a New York corporation (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”).
AMENDMENT TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 20th, 2015 • Dunham Funds
This Amendment is made effective as of the 16th day of December 2014, (the “Effective Date”) to the Sub-Advisory Agreement by and among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and WESTCHESTER CAPITAL MANAGEMENT, LLC, a State of New York Limited Liability Company (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”) dated March 1, 2011 (the “Agreement”).
AMENDMENT TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 20th, 2015 • Dunham Funds
This Amendment is made effective as of the 16th day of December 2014, (the “Effective Date”) to the Sub-Advisory Agreement by and among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and ARROWSTREET CAPITAL, LIMITED PARTNERSHIP, a State of Boston Limited Partnership (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”) dated October 1, 2008 (the “Agreement”).
Underwriting Agreement Schedule AUnderwriting Agreement • August 29th, 2016 • Dunham Funds
June 21, 2016 to add Dunham Alternative Dividend Fund and to delete Dunham Large Cap Growth Fund and Dunham Alternative Income Fund.
THE DUNHAM FUNDS SUB-ADVISORY AGREEMENTDunham Funds Sub-Advisory Agreement • February 25th, 2011 • Dunham Funds • California
AGREEMENT dated December 6, 2010, and effective December 31, 2010, among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and WESTCHESTER CAPITAL MANAGEMENT, LLC, a Delaware limited liability corporation (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”).
Distribution Agreement Schedule ADistribution Agreement • April 9th, 2010 • Dunham Funds
* This schedule was amended on May 14, 2008 to add Dunham Monthly Distribution Fund and on March 23, 2010 to add Dunham Loss Averse Growth Fund.
CUSTODY AGREEMENTCustody Agreement • April 9th, 2010 • Dunham Funds • Minnesota
THIS AGREEMENT is made and entered into as of this 30th day of March, 2010, by and between the Dunham Funds, a Delaware business trust (the “Trust”), and U.S. BANK NATIONAL ASSOCIATION, a national banking association organized and existing under the laws of the United States of America (the “Custodian”).
SUB-ADVISORY AGREEMENT ADDENDUMSub-Advisory Agreement Addendum • February 27th, 2020 • Dunham Funds
This addendum (“Addendum”), dated as of July 1, 2019, amends and is incorporated into and shall form a part of the SUB-ADVISORY AGREEMENT, dated April 24, 2018 (the “Sub-Advisory Agreement” and, together with this Addendum, the “Agreement”), is made by and between DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., (“Adviser”), DUNHAM FUNDS (“Trust”) and MetLife Investment Management, LLC (“Sub-Adviser”) on behalf of itself and its affiliates.
Underwriting Agreement Schedule AUnderwriting Agreement • April 18th, 2023 • Dunham Funds
May 14, 2008 to add Dunham Monthly Distribution Fund; March 23, 2010 to add Dunham Loss Averse Growth Fund (now named Dunham Dynamic Macro Fund); September 20, 2011 to add Dunham Focused Large Cap Growth Fund; June 19, 2012 to add Dunham Alternative Income Fund; December 18, 2012 to add Dunham Alternative Strategy Fund; September 17, 2013 to add Dunham Floating Rate Bond Fund and Dunham International Opportunity Bond Fund; June 21, 2016 to add Dunham Alternative Dividend Fund and to delete Dunham Large Cap Growth Fund and Dunham Alternative Income Fund; March 21, 2023 to add Dunham U.S. Enhanced Market Fund, to delete Dunham Alternative Strategy Fund and Dunham Alternative Dividend Fund, and to update the name of the Dunham Long/Short Credit Fund from the Dunham Appreciation & Income Fund.
AMENDMENT TO THE SUB-ADVISORY AGREEMENTSub-Advisory Agreement • February 20th, 2015 • Dunham Funds
This Amendment is made effective as of the 16th day of December 2014, (the “Effective Date”) to the Sub-Advisory Agreement by and among DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC., a California corporation (the “Adviser”), DUNHAM FUNDS, a Delaware statutory trust (the “Trust”) and THE ITHAKA GROUP, LLC, a State of Maryland Limited Liability Corporation (the “Sub-Adviser”) (each a “Party,” and together, the “Parties”) dated April 1, 2014 (the “Agreement”).
