EX-99.(E)(II) 6 file005.txt FORM OF AMENDMENT TO DISTRIBUTION AGREEMENT Exhibit (e)(ii) IN WITNESS WHEREOF, the parties hereto have caused this Amended Appendix A to the Distribution Agreement and Amended Appendix A to the Mutual Fund Sales And Service Agreement between Henderson Global Funds and Forum Fund Services, LLC to be executed in their names and on their behalf by and through their duly authorized officers, as of September __, 2003. HENDERSON GLOBAL FUNDS By: ________________________________ Print Name: ________________________ Title: _____________________________ FORUM FUND SERVICES, LLC By: ________________________________ Print Name: ________________________ Title: _____________________________ HENDERSON GLOBAL FUNDS DISTRIBUTION AGREEMENT APPENDIX A
------------------------------------- ---------------------- ---------------------------- ---------------------------- DISTRIBUTION FEES PAYABLE SHAREHOLDER SERVICE FEES FUNDS OF THE TRUST CLASSES OF THE TRUST TO FORUM* PAYABLE TO FORUM* ------------------------------------- ---------------------- ---------------------------- ---------------------------- Henderson European Focus Fund A 0.25% None B 0.75% 0.25% C 0.75% 0.25% ------------------------------------- ---------------------- ---------------------------- ---------------------------- Henderson Global Technology Fund A 0.25% None B 0.75% 0.25% C 0.75% 0.25% ------------------------------------- ---------------------- ---------------------------- ---------------------------- ------------------------------------- ---------------------- ---------------------------- ---------------------------- Henderson International A 0.25% None Opportunities Fund B 0.75% 0.25% C 0.75% 0.25% ------------------------------------- ---------------------- ---------------------------- ---------------------------- ------------------------------------- ---------------------- ---------------------------- ---------------------------- Henderson Income Advantage Fund A 0.25% None B 0.75% 0.25% C 0.75% 0.25% ------------------------------------- ---------------------- ---------------------------- ----------------------------
* Fee as a % of the annual average daily net assets of the Fund FORUM FUND SERVICES, LLC MUTUAL FUND SALES AND SERVICE AGREEMENT COMPENSATION SCHEDULE (EFFECTIVE SEPTEMBER 30, 2003) APPENDIX A
---------------------------- -------------------------- ------------------------- -------------------------- FUNDS OF THE TRUST CLASSES OF THE TRUST DISTRIBUTION AND BLUE SKY** SHAREHOLDER SERVICE FEES* TOTAL PAID TO DEALER ---------------------------- -------------------------- ------------------------- -------------------------- Henderson European Focus A 0.25% All States Fund B 0.25% C 1.00% ---------------------------- -------------------------- ------------------------- -------------------------- Henderson Global A 0.25% All States Technology Fund B 0.25% C 1.00% ---------------------------- -------------------------- ------------------------- -------------------------- Henderson International A 0.25% All States Opportunities Fund B 0.25% C 1.00% ---------------------------- -------------------------- ------------------------- -------------------------- Henderson Income Advantage A 0.25% All States Fund B 0.25% C 1.00% ---------------------------- -------------------------- ------------------------- --------------------------
o All fees are percentage of average daily net assets o Free exchange between fund family members of the same class. o Payment is made only upon receipt by the Distributor of payments from the applicable fund. * For Class A and B shares, distribution and shareholder service fees will begin accruing immediately. For Class C shares, distribution and shareholder service fees will begin accruing starting in the 13th month. In all cases, distribution and shareholder service fees will be paid quarterly. ** Distributor shall notify Dealer of additional blue sky states as updated from time to time. A1. A SHARES - FRONT-END SALES LOAD (EUROPEAN FOCUS, GLOBAL TECHNOLOGY, INTERNATIONAL OPPORTUNITIES)
Amount of Purchase Sales Charge Dealer Retention ------------------ ------------ ---------------- Less than $50,000 5.75% 5.00% $50,000 but less than $100,000 4.75% 4.50% $100,000 but less than $250,000 4.00% 3.75% $250,000 but less than $500,000 3.00% 2.75% $500,000 but less than $1,000,000 2.20% 1.95% $1,000,000 or more None* None** A - Shares - FRONT-END SALES LOAD (INCOME ADVANTAGE) Amount of Purchase Sales Charge Dealer Retention ------------------ ------------ ---------------- Less than $50,000 4.75% 4.25% $50,000 but less than $100,000 4.50% 4.00% $100,000 but less than $250,000 3.50% 3.00% $250,000 but less than $500,000 2.50% 2.25% $500,000 but less than $1,000,000 2.00% 1.75% $1,000,000 or more None* None**
2. * No initial sales charge applies on investments of $1 million or more. However, a CDSC of 1% is imposed on certain redemptions of such investments within one year of purchase. ** The distributor pays a sales commission of up to 1.00% of the offering price of Class A shares to brokers that initiate and are responsible for purchases of $1 million or more. 3. Rights of Accumulation (ROA) and Letter of Intent (LOI) are available. 4. Dealer will receive no discount, commission or other concession with respect to sales of Class A shares at net asset value as described in the applicable prospectus, but will be entitled to receive any shareholder service fees and/or distribution fees. B1. B SHARES - CONTINGENT DEFERRED SALES CHARGES Redemption within the first six years are subject to a Contingent Deferred Sales Charge according to the following schedule with shares converted to Class "A" Shares eight years after purchase. Year of Redemption 1 2 3 4 5 6 7 -- - -- -- -- - - CDSC 5% 4% 4% 3% 2% 1% 0% C1. C SHARES - FRONT-END SALES CHARGE OF 1.00% Redemption within eighteen months of purchase is subject to a Contingent Deferred Sales Charge according to the following schedule: Redeemed within: 18 months CDSC 1% HENDERSON GLOBAL FUNDS CONTACTS MARKETING -- 1.866.4Henderson (1.866.443.6337) Attention: Alanna Palmer BROKER/DEALER SERVICES -- 1.866.4Henderson Attention: Suzanne Cullinane TRANSFER AGENT -- 1.866.3Henderson (1.866.343.6337) Boston Financial Data Services c/o Henderson Global Funds 66 Brooks Drive, Suite 8391 Braintree, MA 02184 DISTRIBUTOR -- 1-207-879-1900 Forum Fund Services, LLC Two Portland Square Portland, ME 04101 Attention: Nanette K. Chern