Investment Advisory Agreement (Harbor Small Cap Value Opportunities Fund)Investment Advisory Agreement • May 11th, 2017 • Harbor Funds • Illinois
Harbor 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 Small Cap Value Opportunities 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:
AGREEMENT AND DECLARATION OF TRUST of HARBOR FUNDS a Delaware Statutory Trust Principal Place of Business:Agreement and Declaration of Trust • May 11th, 2017 • Harbor Funds • Delaware
This AGREEMENT AND DECLARATION OF TRUST was made on June 8, 1993, amended and restated on October 1, 2006, and revised as of December 16, 2016, by the Trustees, to establish a statutory trust for the purpose of conducting, operating and carrying on the business of a management investment company for the investment and reinvestment of funds contributed to the Trust by investors. The Trustees declare that all money and property contributed to the Trust shall be held and managed in trust pursuant to this Agreement and Declaration of Trust. The name of the Trust created by this Agreement and Declaration of Trust is Harbor Funds.
Investment Advisory Agreement For Subadviser (Harbor Global Leaders Fund)Harbor Funds • May 11th, 2017 • Illinois
Harbor 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 Global Leaders 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 Board of 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
Investment Advisory Agreement For Subadviser (Harbor Small Cap Value Opportunities Fund)Harbor Funds • May 11th, 2017 • Illinois
Harbor 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 Small Cap Value Opportunities 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 “Board of Trustees”). 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 su
Harbor Funds Distributors, Inc. Chicago, Illinois 60606-4302 Re: Distribution Agreement (the “Agreement”) Ladies and Gentlemen:Harbor Funds • May 11th, 2017
Attached is an amendment to the Agreement dated July 1, 2013 between Harbor Funds (the “Trust”) and you. Pursuant to §15 of the Agreement, the Trust proposes that the Agreement be amended to replace Exhibit A to the Agreement which lists all of the series of the Trust which are included in and are covered by the Agreement.
Distribution AgreementDistribution Agreement • May 11th, 2017 • Harbor Funds • Illinois
Harbor Funds (hereinafter called the “Trust”) is a business trust organized under the laws of Delaware and is engaged in the business of an investment company. The authorized capital of the Trust consists of an unlimited number of shares of beneficial interest, par value $.01, divided into one or more classes (the “Shares”), of each series of the Trust listed on Exhibit A to this Agreement. Shares may be divided into additional series of the Trust (“Series”) that may be established from time to time by action of the Trustees. The Trust has selected you to act as principal underwriter (as such term is defined in Section 2(a)(29) of the Investment Company Act of 1940, as amended (the “1940 Act”) of the Shares and you are willing to act as the principal underwriter and to perform the duties and functions of underwriter in the manner and on the terms and conditions hereinafter set forth. Accordingly, the Trust hereby agrees with you as follows:
