December 1, 2005 Pacific Investment Management Company LLC 840 Newport Center Drive Newport Beach, California 92660 FORM OF INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR REAL RETURN (INFLATION PROTECTED) FUND) Dear Sirs: Harbor Capital...Harbor Fund • September 1st, 2005 • Ohio
Company FiledSeptember 1st, 2005 Jurisdiction
May 1, 2007 Harbor Capital Advisors, Inc. One SeaGate Toledo, Ohio 43604 INVESTMENT ADVISORY AGREEMENT (HARBOR SMID VALUE FUND) Dear Sirs: Harbor Funds (the "Trust") has been organized under the laws of Delaware to engage in the business of an...Harbor Funds • April 25th, 2007 • Ohio
Company FiledApril 25th, 2007 Jurisdiction
August 1, 2006 HCA Securities, Inc. One SeaGate Toledo, Ohio 43604 RE: DISTRIBUTION AGREEMENT (THE "AGREEMENT") Ladies and Gentlemen: Attached is an amendment to the Agreement dated April 8, 2002 between Harbor Fund (the "Fund") and you. Pursuant to...Distribution Agreement • February 28th, 2007 • Harbor Funds
Contract Type FiledFebruary 28th, 2007 Company
2 3 INVESTMENT ADVISORY AGREEMENT HARBOR MONEY MARKET FUND JUNE 25, 1993Investment Advisory Agreement • February 27th, 1997 • Harbor Fund • Ohio
Contract Type FiledFebruary 27th, 1997 Company Jurisdiction
2 3 DISTRIBUTION AGREEMENT HCA SECURITIES, INC. JUNE 25, 1993Distribution Agreement • February 27th, 1997 • Harbor Fund • Ohio
Contract Type FiledFebruary 27th, 1997 Company Jurisdiction
June___, 2001 Emerging Growth Advisors, Inc. 401 E. Pratt Street Suite 211 Baltimore, Maryland 21202 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR GROWTH FUND) Dear Sirs: Harbor Capital Advisors, Inc. (the "Adviser"), a Delaware corporation,...Harbor Fund • April 20th, 2001 • Ohio
Company FiledApril 20th, 2001 Jurisdiction
May 1, 2007 Evercore Asset Management, LLC 55 East 52nd Street New York, NY 10055 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR SMID VALUE FUND) Dear Sirs: Harbor Capital Advisors, Inc. (the "Adviser"), a Delaware corporation, with its...Harbor Funds • April 25th, 2007 • Ohio
Company FiledApril 25th, 2007 Jurisdiction
August 1, 2006 Pzena Investment Management, LLC 120 West 45th Street 20th Floor New York, NY 10036 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR GLOBAL VALUE FUND) Dear Sirs: Harbor Capital Advisors, Inc. (the "Adviser"), a Delaware...Harbor Fund • May 23rd, 2006 • Ohio
Company FiledMay 23rd, 2006 Jurisdiction
TRANSFER AGENCY AND SERVICE AGREEMENT FEE SCHEDULETransfer Agency and Service Agreement • December 3rd, 2001 • Harbor Fund
Contract Type FiledDecember 3rd, 2001 CompanyFee Schedule for Services as Transfer Agent, Dividend Disbursing Agent and Shareholder Servicing Agent for the following Fund:
AMENDMENT TO THE INVESTMENT ADVISORY AGREEMENT (HARBOR BOND FUND)Investment Advisory Agreement • February 28th, 2007 • Harbor Funds
Contract Type FiledFebruary 28th, 2007 Company
CUSTODIAN CONTRACT BETWEEN HARBOR GROWTH FUND ANDCustodian Contract • February 26th, 1998 • Harbor Fund
Contract Type FiledFebruary 26th, 1998 Company
May 1, 2007 Evercore Asset Management, LLC 237 Park Avenue, 19th Floor New York, NY 10017 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR SMALL TO MID CAP VALUE FUND) Dear Sirs: Harbor Capital Advisors, Inc. (the "Adviser"), a Delaware...Harbor Funds • February 14th, 2007 • Ohio
Company FiledFebruary 14th, 2007 Jurisdiction
June 25, 1993Investment Advisory Agreement • February 27th, 1997 • Harbor Fund • Ohio
Contract Type FiledFebruary 27th, 1997 Company Jurisdiction
May 2, 1997 Emerging Growth Advisors, Inc. 401 E. Pratt Street Suite 211 Baltimore, Maryland 21202 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR GROWTH FUND) -------------------------------------------------- Dear Sirs: Harbor Capital Advisors,...Harbor Fund • December 30th, 1997 • Ohio
Company FiledDecember 30th, 1997 Jurisdiction
March 1, 2006Harbor Fund • February 22nd, 2006 • Ohio
Company FiledFebruary 22nd, 2006 Jurisdiction
February 1, 2001 BPI Global Asset Management LLP 1900 Summit Tower Boulevard Suite 450 Orlando, FL 32810 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR GLOBAL EQUITY FUND) Dear Sirs: Harbor Capital Advisors, Inc. (the "Adviser"), a Delaware...Harbor Fund • November 16th, 2000 • Ohio
Company FiledNovember 16th, 2000 Jurisdiction
1 EXHIBIT 9 FIRST RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT AGREEMENT made as of the 25th day of June, 1993, by and between HARBOR FUND, a Delaware business trust, having its principal office and place of business at One SeaGate, Toledo, Ohio...Agency and Service Agreement • February 27th, 1997 • Harbor Fund • Ohio
Contract Type FiledFebruary 27th, 1997 Company Jurisdiction
August 4, 1995 DePrince, Race & Zollo, Inc. 201 S. Orange Avenue, Suite 850 Orlando, Florida 32801 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR VALUE FUND) ________________________________________________________ Dear Sirs: Harbor Capital...Harbor Fund • December 28th, 1995 • Ohio
Company FiledDecember 28th, 1995 Jurisdiction
June ___, 2001 Harbor Capital Advisors, Inc. One SeaGate Toledo, Ohio 43666 INVESTMENT ADVISORY AGREEMENT (HARBOR MONEY MARKET FUND) Dear Sirs: Harbor Fund (the "Trust") has been organized under the laws of Delaware to engage in the business of an...Harbor Fund • April 20th, 2001 • Ohio
Company FiledApril 20th, 2001 Jurisdiction
November 1, 2000 Harbor Capital Advisors, Inc. [HARBOR FUND LOGO] One SeaGate Toledo, Ohio 43666 INVESTMENT ADVISORY AGREEMENT (HARBOR MID CAP GROWTH FUND) Dear Sirs: Harbor Fund (the "Trust") has been organized under the laws of Delaware to engage in...Harbor Fund • August 14th, 2000
Company FiledAugust 14th, 2000
HARBOR FUNDAgreement and Declaration of Trust • February 18th, 2005 • Harbor Fund • Delaware
Contract Type FiledFebruary 18th, 2005 Company Jurisdiction
August 4, 1995 DePrince, Race & Zollo, Inc. 201 S. Orange Avenue, Suite 850 Orlando, Florida 32801 INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR VALUE FUND) ________________________________________________________ Dear Sirs: Harbor Capital...Harbor Fund • December 29th, 1995 • Ohio
Company FiledDecember 29th, 1995 Jurisdiction
5 6 PACIFIC INVESTMENT MANAGEMENT COMPANY HARBOR BOND FUND NOVEMBER 15, 1994 persons dealing with the Trust or the Fund must look solely to the property of the Trust or the Fund for the enforcement of any claims against the Trust or the Fund as...Harbor Fund • February 27th, 1997 • Ohio
Company FiledFebruary 27th, 1997 Jurisdiction
April 8, 2002 HCA Securities, Inc. One SeaGate Toledo, Ohio 43666 DISTRIBUTION AGREEMENT Dear Sirs: Harbor Fund (hereinafter called the "Fund") is a business trust organized under the laws of Delaware and is engaged in the business of an investment...Distribution Agreement • June 20th, 2002 • Harbor Fund • Ohio
Contract Type FiledJune 20th, 2002 Company Jurisdiction
August 1, 2006 Harbor Capital Advisors, Inc. One SeaGate Toledo, Ohio 43604 INVESTMENT ADVISORY AGREEMENT (HARBOR GLOBAL VALUE FUND) Dear Sirs: Harbor Fund (the "Trust") has been organized under the laws of Delaware to engage in the business of an...Harbor Fund • May 23rd, 2006 • Ohio
Company FiledMay 23rd, 2006 Jurisdiction
Investment Advisory Agreement (Harbor International Compounders Fund)Harbor Funds • February 29th, 2024 • Illinois
Company FiledFebruary 29th, 2024 JurisdictionHarbor Funds (the “Trust”) has been organized under the laws of Delaware to engage in the business of an investment company. The shares of beneficial interest of the Trust (“Shares”) are divided into multiple series, including Harbor International Compounders Fund (the “Fund”), as established pursuant to a written instrument executed by the Trustees of the Trust. Series may be terminated, and additional series established, from time to time by action of the Trustees. The Trust, on behalf of the Fund, has selected you to act as the investment adviser of the Fund and to provide certain other services, as more fully set forth below, and you are willing to act as such investment adviser and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows:
FORM OF INVESTMENT ADVISORY AGREEMENT FOR SUBADVISER (HARBOR MID CAP VALUE FUND)Harbor Fund • December 14th, 2004 • Ohio
Company FiledDecember 14th, 2004 Jurisdiction
3 4 INVESTMENT ADVISORY AGREEMENT HARBOR SMALL CAP GROWTH FUND JUNE ___, 2001Harbor Fund • April 20th, 2001 • Ohio
Company FiledApril 20th, 2001 Jurisdiction
November 1, 1993 Jennison Associates Capital Corp. 466 Lexington Avenue New York, NY 10017Harbor Fund • February 27th, 1997 • Ohio
Company FiledFebruary 27th, 1997 Jurisdiction
Non-Discretionary Model Portfolio Provider AgreementHarbor Funds • June 4th, 2021 • Illinois
Company FiledJune 4th, 2021 JurisdictionHarbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, Chicago, Illinois 60606, is the investment adviser to Harbor Funds (the “Trust”) on behalf of each series set forth in Schedule A attached hereto, severally and not jointly (each, a “Fund”). The Trust has been organized as a statutory trust under the laws of the State of Delaware to engage in the business of an investment company. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The shares of beneficial interest of the Trust (the “Shares”) are divided into multiple series, including the Fund(s), as established pursuant to resolutions adopted by the Board of Trustees of the Trust (the “Board” or the “Trustees”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected Westfield Capital Management Company L.P. (“you”, “your” or “
Amended and Restated Investment Advisory Agreement For Subadviser Harbor Mid Cap Value FundHarbor Funds • September 12th, 2019 • Illinois
Company FiledSeptember 12th, 2019 JurisdictionHarbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, 34th Floor, Chicago, Illinois 60606, is the investment adviser to Harbor Fund (the “Trust”) on behalf of Harbor Mid Cap Value Fund (the “Fund”). The Trust has been organized under the laws of Delaware to engage in the business of an investment company. The shares of beneficial interest of the Trust (“Shares”) are divided into multiple series including the Fund, as established pursuant to a written instrument executed by the Trustees of the Trust. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected you to act as a sub-investment adviser of the Fund and to provide certain other services, as more fully set forth below. You are willing to act as such a sub-investment adviser and
Exhibits 99(a)(1) ------------------------------------------------------------------------------- AGREEMENT AND DECLARATION OF TRUST -------------------------------------------------------------------------------Harbor Funds • February 28th, 2007 • Delaware
Company FiledFebruary 28th, 2007 Jurisdiction
Amended and Restated Investment Advisory Agreement (Harbor Emerging Markets Equity Fund)Investment Advisory Agreement • December 16th, 2020 • Harbor Funds • Illinois
Contract Type FiledDecember 16th, 2020 Company JurisdictionHarbor Funds (the “Trust”) has been organized under the laws of Delaware to engage in the business of an investment company. The shares of beneficial interest of the Trust (“Shares”) are divided into multiple series, including Harbor Emerging Markets Equity Fund (the “Fund”), as established pursuant to a written instrument executed by the Trustees of the Trust. Series may be terminated, and additional series established, from time to time by action of the Trustees. The Trust, on behalf of the Fund, has selected you to act as the investment adviser of the Fund and to provide certain other services, as more fully set forth below, and you are willing to act as such investment adviser and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows:
Investment Advisory Agreement For Subadviser (Harbor Core Plus Fund)Harbor Funds • February 23rd, 2022 • New York
Company FiledFebruary 23rd, 2022 JurisdictionHarbor Capital Advisors, Inc. (the “Adviser”), a Delaware corporation, with its principal offices at 111 South Wacker Drive, Chicago, Illinois 60606, is the investment adviser to Harbor Funds (the “Trust”) on behalf of Harbor Core Plus Fund (the “Fund”). The Trust has been organized as a statutory trust under the laws of the State of Delaware to engage in the business of an investment company. The Trust is an open-end, management investment company registered under the Investment Company Act of 1940, as amended (the “Investment Company Act”). The shares of beneficial interest of the Trust (the “Shares”) are divided into multiple series, including the Fund, as established pursuant to resolutions adopted by the Board of Trustees of the Trust (the “Board” or the “Trustees”). Pursuant to authority granted the Adviser by the Trust’s Trustees, the Adviser has selected Income Research & Management (“you”, “your” or “yourself”) to act as a sub-investment adviser of the Fund and to provide cert
Investment Advisory Agreement (HARBOR COMMODITY REAL RETURN STRATEGY FUND)Harbor Funds • February 28th, 2013 • Illinois
Company FiledFebruary 28th, 2013 JurisdictionHarbor Funds (the “Trust”) has been organized under the laws of Delaware to engage in the business of an investment company. The shares of beneficial interest of the Trust (“Shares”) are divided into multiple series, including Harbor Commodity Real Return Strategy Fund (the “Fund”), as established pursuant to a written instrument executed by the Trustees of the Trust. Series may be terminated, and additional series established, from time to time by action of the Trustees. The Trust on behalf of the Fund has selected you to act as the investment adviser of the Fund and to provide certain other services, as more fully set forth below, and you are willing to act as such investment adviser and to perform such services under the terms and conditions hereinafter set forth. Accordingly, the Trust agrees with you as follows: