0000928816-14-001539.txt : 20140926 0000928816-14-001539.hdr.sgml : 20140926 20140926161219 ACCESSION NUMBER: 0000928816-14-001539 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20140731 FILED AS OF DATE: 20140926 DATE AS OF CHANGE: 20140926 EFFECTIVENESS DATE: 20140926 FILER: COMPANY DATA: COMPANY CONFORMED NAME: JOHN HANCOCK PREFERRED INCOME FUND II CENTRAL INDEX KEY: 0001189740 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-21202 FILM NUMBER: 141124207 BUSINESS ADDRESS: STREET 1: C/O JOHN HANCOCK FUNDS STREET 2: 601 CONGRESS STREET CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 617-663-3000 MAIL ADDRESS: STREET 1: C/O JOHN HANCOCK FUNDS STREET 2: 601 CONGRESS STREET CITY: BOSTON STATE: MA ZIP: 02210 NSAR-B 1 a_preferredincomeii.fil JOHN HANCOCK PREFERRED INCOME FUND II PAGE 1 000 B000000 07/31/2014 000 C000000 0001189740 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 JOHN HANCOCK PREFERRED INCOME FUND II 001 B000000 811-21202 001 C000000 6176634497 002 A000000 601 CONGRESS STREET 002 B000000 BOSTON 002 C000000 MA 002 D010000 02210 002 D020000 2805 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 008 A000001 JOHN HANCOCK ADVISERS, LLC 008 B000001 A 008 C000001 801-8124 008 D010001 BOSTON 008 D020001 MA 008 D030001 02210 008 D040001 2805 008 A000002 John Hancock Asset Management 008 B000002 S 008 C000002 801-42023 008 D010002 Boston 008 D020002 MA 008 D030002 02199 010 A000001 JOHN HANCOCK ADVISERS, LLC 010 B000001 801-8124 010 C010001 BOSTON 010 C020001 MA 010 C030001 02210 010 C040001 2805 012 A000001 Computershare Shareowner Services, LLC 012 B000001 84-5579 012 C010001 Jersey City 012 C020001 NJ 012 C030001 07310 012 C040001 1900 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 BOSTON PAGE 2 013 B020001 MA 013 B030001 02110 013 B040001 9682 014 A000001 SIGNATOR INVESTORS, INC. 014 B000001 8-13995 014 A000002 JOHN HANCOCK FUNDS, LLC 014 B000002 8-43582 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02105 015 E020001 X 015 A000002 CITIBANK 015 B000002 S 015 C010002 BUENOS AIRES 015 D010002 ARGENTINA 015 E040002 X 015 A000003 CITIGROUP PTY. 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Report of Independent Registered Public Accounting Firm

 

To the Board of Trustees and Shareholders of John Hancock Preferred Income Fund II:

 

In planning and performing our audit of the financial statements of John Hancock Preferred Income Fund II (the “Fund”) as of and for the year ended July 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund's internal control over financial reporting.

 

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a fund’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund's annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and their operation, including controls over safeguarding securities that we consider to be material weaknesses as defined above as of July 31, 2014.

 

 

 

 

 

 

 
 

This report is intended solely for the information and use of management and the Board of Trustees of John Hancock Preferred Income Fund II and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

 

/s/ PricewaterhouseCoopers LLP

Boston, Massachusetts

September 24, 2014

 EX-99.77C VOTES 3 c_meetingproxyvotes77c.htm SHAREHOLDER MEETING

Shareholder Meeting

The fund held its Annual Meeting of Shareholders on February 18, 2014. The following proposal was considered by the shareholders:

 

Proposal: Election of four (4) Trustees to serve for a three-year term ending at the 2017 Annual Meeting of Shareholders. Each Trustee was re-elected by the fund’s shareholders and the votes cast with respect to each Trustee are set forth below.

 

Total Votes for the Nominee Total Votes Withheld from the Nominee
Independent Trustees
William H Cunningham 17,841,628.610 621,208.819
Grace K. Fey 17,882,335.058 580,502.371
Hassell H. McClellan 17,872,948.836 589,888.593
Gregory A. Russo 17,859,166.111 603,671.318

 

Trustees whose term of office continued after the Annual Meeting of Shareholders because they were not up for election are: Charles L. Bardelis, Craig Bromley, Peter S. Burgess, Theron S. Hoffman, Deborah C. Jackson, James M. Oates, Steven R. Pruchansky and Warren A. Thomson.

 

 EX-99.77Q1 OTHR EXHB 4 d_jhaamendrestatedservagrmnt.htm AMENDED AND RESTATED SERVICE AGREEMENT

AMENDED AND RESTATED

SERVICE AGREEMENT

THIS AGREEMENT (the “Agreement”) is amended and restated as of this 25th day of June, 2014, by and between the trusts listed in Appendix A (the “Trusts”), on behalf of themselves and each of their funds (except as noted) (the “Funds”) and John Hancock Advisers, LLC (“John Hancock”).

WHEREAS, each Trust desires to retain John Hancock to provide certain services to the Trust and the Funds as described below; and John Hancock is willing to provide such services in the manner and on the terms hereinafter set forth; and

WHEREAS, each Trust has entered into a Service Agreement with John Hancock dated as of January 1, 2014, and each party desires to amend and restate that Agreement;

NOW, THEREFORE, each Trust and John Hancock hereby agree as follows:

1.                  Services. Subject to the general supervision of the Boards of Trustees of the Trusts (the “Boards of Trustees”), John Hancock will provide (a) to the Trusts and each of the Funds the services set forth below, and (b) to each of the Funds (if any) that is identified in Appendix B as a feeder fund (“Feeder Fund”) that invests substantially all of its assets in a corresponding master fund (“Master Fund”) having substantially similar investment objectives and policies, such additional services and functions set forth below, as are reasonably necessary for the operation of the Trusts and each Fund (“Services”). The Services, to the extent not required to be performed by John Hancock pursuant to an investment advisory agreement with respect to a Fund, include, but are not limited to:

A.Legal services as follows:
(1)Maintenance of each Fund’s registration statement and federal and state registration;
(2)Preparation of certain notices and proxy materials furnished to shareholders of the Funds;
(3)Preparation of periodic reports of each Fund to regulatory authorities, including Form N-SAR and Rule 24f-2 legal opinions;
(4)Preparation of materials in connection with meetings of the Board of Trustees including minutes of the meeting and all Board Committee meetings;
(5)Administration of the meetings of the Board of Trustees;
(6)Preparation of written contracts, distributions plans, compliance procedures, corporate and trust documents and other legal documents;
(7)Research advice and consultation about certain legal, regulatory and compliance issues;
(8)Supervision, coordination and evaluation of certain services provided by outside counsel;
(9)Responses to subpoenas and appropriate information requests for shareholder records; and
(10)Management of litigation regarding the Funds.
 
 
B.Tax Services as follows:
(1)Arranging for, or participating in, the preparation and filing of all required tax returns for the Funds;
(2)Review of required Fund distributions for excise, fiscal year-end and calendar year-end;
(3)Review of “complex” securities purchased by the Funds;
(4)Preparation of tax information that is included in a Fund’s Form 1099-DIV and distributed to third party intermediaries;
(5)Preparation of financial statement tax adjustments and disclosures for the Funds;
(6)Monitoring regulatory compliance with applicable IRS rules and regulations;
(7)Preparation of tax provisions for excise, fiscal year-end and calendar year end;
(8)Analysis and consultation regarding certain tax matters;
(9)Oversight of tax services provided by auditing firms such as Ernst & Young; and
(10)Review of final distributions relating to Fund mergers.
C.Treasury Services as follows:
(1)Review of each Fund’s net asset value on a daily (next day) basis;
(2)Assessment and review of internal controls for the Funds at the custodian bank and perform custodian and fund accounting agent oversight;
(3)Support for Fund dividend distributions including daily distributing funds;
(4)Analysis and disposition of pricing errors including support for reimbursement of losses and reprocessing of fund shares;
(5)Coordination and preparation of Board materials for Fund Administration, including materials for the annual Board meeting to review the Fund contracts;
(6)Development of Accounting Policies;
(7)Review of cash and securities reconciliations and aged exception items;
(8)Review monthly custodian Operations Report and conduct periodic onsite risk reviews;
(9)Review Fund prospectuses;
(10)Monthly review of Statement of Condition/Trial Balance;
(11)Oversight of Blue Sky filings;
(12)Provide guidance to JH Investments on operational Fund structure and process flows;
(13)Coordination and administration of Dividend Committee meetings; and
(14)Prepare materials for monthly Risk and Investment Operations (RIO) meetings, including quarterly reporting to the Board.
D.Valuation as follows:
(1)Development and maintenance of Board approved pricing policies and procedures for the Funds;
(2)Daily review of Fund market risk, such as suspended securities, significant events, price discrepancies and stale prices, including development of reports to identify market risk;
(3)Development and maintenance of controls relating to valuation of Fund securities;
   
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(4)Preparation of reports relating to the valuation risks including fair valuation of securities as prescribed in Board approved policies and procedures ;
(5)Conducting Pricing Committee meetings as needed and assist in the determination of fair valuation of securities;
(6)Due Diligence of pricing vendors, including onsite visits;
(7)Prepare materials for monthly Pricing Committee meetings, including quarterly reviews of selected asset classes;
(8)Monitor for significant events;
(9)Analyze fair value prices to market open;
(10)Periodically evaluate trigger levels; and
(11)Document fair value decisions.
E.Financial Reporting and Performance as follows:
(1)Preparation of financial data or reports required by the Securities and Exchange Commission or other regulatory authorities including the preparation of semi-annual and annual reports for the Funds;
(2)Preparation of Form N-CSR, Form N-Q, Form N-SAR, Form N-MFP and CFTC reporting (as applicable) for the Funds;
(3)Coordination of independent external audits for the Funds;
 (4)Administration and maintenance of the data management system;
(5)Review of the investment performance of the Funds, including performance attribution, and preparation of reports relating to such performance;
(6)Coordination and administration of CEO/CFO certification materials;
(7)Coordination and administration of Accounting Policies Meeting;
(8)Coordination and administration of Disclosure Controls & Procedures (DC&P) meetings;
(9)Provide business analyst support for Fund Administration activities;
(10)Maintain the Funds’ GAAP reporting policies;
(11)Assist the Funds’ Audit Committees in annual fee proposals and monitor auditor independence;
(12)Administer and review the pre-approval process for the Funds’ auditors regarding non-audit securities engagements;
(13)Review and on-going maintenance of Fund financial statement disclosures;
(14)Provide confirmation support for external audit;
(15)Coordinate Closed End Funds annual financial statements and Audit Committee approval; and
(16)Review all data feeds and analyze and resolve all exceptions.

 

F.Compliance as follows:
(1)Monitoring of post trade compliance by each Fund with applicable regulatory requirements, including the 1940 Act; the Securities Act of 1933, as amended; the Securities Exchange Act of 1934, as amended; the Sarbanes-Oxley Act of 2002; Title V of the Gramm-Leach-Bliley Act (relating to the privacy of customer information); the Bank Secrecy Act (relating to money-laundering); and the Internal Revenue Code of 1986, as amended, and the rules and regulations under each thereof;
 
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(2)Review and processing of Fund litigation claims and settlements;
(3)Testing of policies and procedures relating to Fund Administration compliance services for the Funds;
(4)Maintenance of Fund Administration policies and procedures;
(5)Develop ad-hoc reporting on compliance related matters;
(6)Review of sub-adviser compliance materials;
(7)Administration and filing of Form N-PX; and
(8)Coordination with internal audit review.
G.Service Provider Oversight (Vendor Management) as follows:
(1)Assistance in the selection of service providers;
(2)Negotiation of existing service provider agreements including appropriate amendments thereto;
(3)Monitoring the performance of and the quality of services provided by service providers under such agreements including the review of vendor reports, performance measurement reporting (“scorecards”) and periodic due diligence reviews;
(4)Review and assess known compliance violations with service providers;
(5)Monitoring service providers’ compliance with applicable regulatory requirements;
(6)Preparing compliance, risk, and financial reporting dashboards for service providers;
(7)Reporting periodically to the Board of Trustees on the service providers and the services provided to the Trust and the Funds;
(8)Responding to requests from regulators regarding the service providers;
(9)Establish a philosophy and framework for effective management and oversight of Fund service providers including conducting on-site due diligence visits as necessary;
(10)Development and review of Service Level Agreements as needed;
(11)Monitor news events regarding Funds’ vendor relationships; and
(12)Prepare materials and coordinate key vendor periodic executive meetings.
H.Portfolio and Cash Management Services
(1)Coordinate and execute transactions relating to the Funds such as Fund mergers, subadviser changes, Fund rebalancing and Fund asset transfers (collectively, “Fund Events”);
(2)Review matters relating to Fund mergers, Fund launches and Fund liquidations;
(3)Administer the Fund Commission Recapture Program;
(4)Review bank overdraft changes;
(5)Administer transition management program;
(6)Analyze merger related costs;
(7)Monitor the cash management of the Funds;
 
4
 
(8)Administer and monitor the compliance with the Fund Line of Credit for Closed End funds;
(9)Monitor collateral relating to derivatives, financing arrangements, Fund investments and accounts supporting bank lines of credit;
(10)Prepare N-14 pro-forma merger related information and financial statements for other Fund transactions;
(11)Coordinate operational activities associated with Fund of Funds rebalancing;
(12)Oversight of securities lending, including the coordination and administration of the Securities Lending Working Group;
(13)Oversight of the Interfund Lending Program;
(14)Review of security lending income received by the Funds;
(15)Review of commission recapture income received by the Funds;
(16)Preparation of materials for Complex Securities Committee meetings;
(17)Review of “complex” securities purchased by the Funds;
(18)Review of financing break even analysis for Closed End Funds;
(19)Review of contractual covenants and coordination of de-leveraging events; associated with closed-end Fund lines of credit; and
(20)Provide advice and consultative services as required for Fund events such as subadviser reassignments and fund liquidations.

 

I.Fund Administration Solutions
(1)Conduct monthly Fund Administration project prioritization meetings with senior management;
(2)Develop the master project list, prioritization schedule and Project Management Office staffing model;
(3)Adhere to Manulife’s corporate Information Technology project prioritization procedures (i.e. Project Gating and Steering Committee participation);
(4)Facilitate project meetings and the development of business requirements, project plans and summary dashboard reporting documents; execute select projects; and
(5)Coordinate activities with internal and external Information Technology representatives.
J.Additional Services to Feeder Funds:
(1)Assist in the development of information and reports to the Board of Trustees (i) to enable it to make all necessary decisions regarding whether to invest the assets of a Feeder Fund in shares of a particular Master Fund and (ii) as may be requested by the Board of Trustees from time to time;
(2)Coordination with the board of directors, officers and service providers of each Master Fund for purposes of obtaining all information, reports, certifications, signatures and other materials reasonably necessary for preparing and filing of its corresponding Feeder Fund’s registration statement, shareholder reports and other reports that may be filed pursuant to applicable securities laws and regulations;
(3)Effecting daily trades into or from each Master Fund, settling all such transactions and performing trading and settlement reconciliations;
 
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(4)Facilitation of distributing Master Fund proxy solicitation materials to corresponding Feeder Fund shareholders and/or coordinating with officers and service providers of each Master Fund the incorporation of its proxy information into its corresponding Feeder Fund proxy solicitation materials; and
(5)Coordination with officers and service providers of each Master Fund for purposes of enabling its corresponding Feeder Fund to compile and maintain such books and records as may be legally required or reasonably necessary or prudent for such Feeder Fund to compile and maintain.
K.Expense Services
(1)Preparation of expense budget for each Fund;
(2)Preparation of Form 24f-2 notices for each Fund;
(3)Calculation of expense information included in Fund registration statements;
(4)Monitoring of Fund expense caps and waivers;
(5)Perform 18f-3 reviews;
(6)Review of Fund expenses and authorization for disbursement; and
(7)Completion and review of 12b-1 expense cap calculations.

 

In connection with its provision of the Services, John Hancock will

(1)Provide such staff and personnel as are reasonably necessary to perform the Services for the Trusts and the Funds. Without limiting the generality of the foregoing, such staff and personnel shall be deemed to include officers of John Hancock and its affiliates, and persons employed or otherwise retained by John Hancock, to provide or assist in providing the Services to the Trusts and the Funds; and
(2)Provide the Trusts and the Funds with all office facilities to perform the Services.

The Services do not include services performed and personnel provided pursuant to contracts with the Trust or the Funds by third-party custodians, transfer agents and other service providers.

2.                  Compensation. In consideration for the Services provided to the Trusts and the Funds by John Hancock and its affiliates pursuant to this Agreement, each Fund will pay John Hancock such fee or other compensation as may be approved by the Board of Trustees from time to time and set forth in Appendix C hereto as the same may be amended from time to time. Any Services provided by a person or entity other than John Hancock and its affiliates, including, without limitation, services provided by attorneys not affiliated with John Hancock, are not covered under this Agreement and are an expense of the Funds.

3.                  No Partnership or Joint Venture. Each Trust, on behalf of itself and each of its Funds, and John Hancock are not partners of or joint venturers with each other, and nothing herein shall be construed so as to make any of the Trusts, on behalf of itself or any of its Funds, and John Hancock partners or joint venturers or impose any liability as such on the Trust, any Fund or John Hancock.

 
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4.                  Limitation of Liability. John Hancock shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Funds in connection with the matters to which this Agreement relates, except losses resulting from willful misfeasance, bad faith or negligence by John Hancock in the performance of its duties or from reckless disregard by John Hancock of its obligations under this Agreement. Any person, even though also employed by John Hancock, who may be or become an employee of and paid by any of the Trusts shall be deemed, when acting within the scope of his or her employment by the Trust, to be acting in such employment solely for the Trusts and not as John Hancock’s employee or agent.

5.                  Duration and Termination of Agreement. This Agreement shall remain in effect until the second anniversary of the date on which it was executed, and from year to year thereafter, but only so long as such continuance is specifically approved at least annually by a majority of the Board of Trustees and a majority of the Trustees who are not interested persons (as defined in the 1940 Act) of any of the Trusts or John Hancock. The Agreement may, on 60 days’ written notice, be terminated at any time without the payment of any penalty by any of the Trusts on behalf of itself or any of its Funds (by vote of a majority of the Trustees of the Trust) or by John Hancock.

6.                  Amendment. No provision of this Agreement may be amended, waived, discharged or terminated except by an instrument in writing signed by the party against which enforcement of the amendment, waiver, discharge or termination is sought.

7.                  Governing Law. This Agreement shall be governed by and construed in accordance with the laws of the Commonwealth of Massachusetts without regard to the choice of law provisions thereof.

8.                  Miscellaneous. The captions in this Agreement are included for convenience of reference only and in no way define or limit any of the provisions of this Agreement or otherwise affect their construction or effect. This Agreement may be executed simultaneously in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. A copy of the Declaration of Trust of each Trust which is organized as a Massachusetts business trust is on file with the Secretary of State of the Commonwealth of Massachusetts and provides that no Trustee, shareholder, officer, employee or agent of the Trust shall be subject to any personal liability in connection with Trust property or the affairs of the Trust, but that only the assets belonging to the Trust, or to the particular Fund with respect to which an obligation or claim arose, shall be liable.

(THE REMAINDER OF THIS SPACE HAS BEEN INTENTIONALLY LEFT BLANK)

 
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IN WITNESS WHEREOF, the undersigned have caused this Agreement to be executed by their duly authorized officers as of the date first written above.

JOHN HANCOCK ADVISERS, LLC

 

 

By: /s/ Charles A. Rizzo

Name: Charles A. Rizzo

Title: Chief Financial Officer

 

 

 

By all the Trusts listed in Appendix A

 

 

By: /s/ Andrew Arnott

Name: Andrew Arnott

Title: President

 

 

8
 

Appendix A

John Hancock Bond Trust

On behalf of each of its series

 

John Hancock Current Interest

On behalf of each of its series

 

John Hancock Funds II

On behalf of each of its series

 

John Hancock Funds III

On behalf of each of its series

 

John Hancock Hedged Equity & Income Fund

 

John Hancock Income Securities Trust

 

John Hancock Investment Trust

On behalf of each of its series (except John Hancock Large Cap Equity Fund)

 

John Hancock Investment Trust II

On behalf of each of its series

 

John Hancock Investors Trust

 

John Hancock Municipal Securities Trust

On behalf of each of its series

 

John Hancock Preferred Income Fund

 

John Hancock Preferred Income Fund II

 

John Hancock Preferred Income Fund III

 

John Hancock Sovereign Bond Fund

On behalf of each of its series

 

John Hancock Strategic Series

On behalf of each of its series

 

John Hancock Tax-Advantaged Dividend Income Fund

 

John Hancock Tax-Advantaged Global Shareholder Yield Fund

 

John Hancock Tax-Exempt Series Fund

 
A-1
 

On behalf of each of its series

 

A-2
 

Appendix B

The Feeder Funds are as follows:

None

 

B-1
 

Appendix C

Compensation

Each Fund listed in Appendix A shall reimburse John Hancock for its expenses associated with providing all such Services described in this Agreement, including (a) direct compensation and related personnel expenses, (b) direct expenses of office space, office equipment, utilities and miscellaneous office expenses (“Office Support”), (c) direct expenses of computer hardware and software (and the development thereof) used to support John Hancock in providing such Services and IT support relating to such computer hardware and software, (d) other reasonable direct expenses incurred by John Hancock in providing Services to the Funds including, without limitation, expenses related to services provided by third parties such as Charles River, GainsKeeper and Confluence, Bloomberg to John Hancock that are related to John Hancock’s provision of Services to the Funds and (e) overhead expenses (including Manulife Financial Corporation (“Manulife”) corporate overhead) related to Office Support and personnel who provide services to each Fund (the “Reimbursement”), provided that overhead expenses related to Office Support shall not exceed levels that are allocated ordinarily to other Manulife business units. John Hancock shall determine, subject to Board approval, the expenses to be reimbursed by each Fund; provided, however, that such expenses shall not exceed levels that are fair and reasonable in light of the usual and customary charges made by others for services of the same nature and quality. The Reimbursement shall be calculated and paid monthly in arrears.

 

C-1

 

 EX-99.77Q1 OTHR EXHB 5 e_amd2tocsrvgrmnttrnsgnt.htm AMENDMENT TO SERVICE AGREEMENT TRANSFER AGENTS

 

 

 

 

 

AMENDMENT TO

JOHN HANCOCK CLOSED-END FUNDS

 

 

SERVICE AGREEMENT

FOR

TRANSFER AGENT SERVICES

 

June 30, 2014

 

 

 

 

 

 

 

 

 

 

1

 
 

THIS AMENDMENT (this “Amendment”) dated June 30, 2014 to the Service Agreement for Transfer Agent Services (the “Agreement”) dated June 1, 2002, as amended by and between Computershare Inc., successor-in-interest to Computershare Shareowner Services LLC, a New Jersey limited liability company (“Agent”), and John Hancock Financial Opportunities Fund, John Hancock Hedged Equity & Income Fund, John Hancock Income Securities Trust, John Hancock Investors Trust, John Hancock Preferred Income Fund, John Hancock Preferred Income Fund II, John Hancock Preferred Income Fund III, John Hancock Premium Dividend Fund, John Hancock Tax-Advantaged Dividend Income Fund and John Hancock Tax-Advantaged Global Shareholder Yield Fund, each a Massachusetts Business Trust (collectively, the “Clients”).

 

WHEREAS, Agent and the Clients desire to amend the Agreement as provided in this Amendment.

 

NOW THEREFORE, in consideration of the mutual conditions and agreements set forth herein, and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereto agree as follows:

1.Amendment to Agreement
(a)Section 2 (a) of the Agreement is hereby amended and restated in its entirety to read as follows:

 

(a)Effective June 30, 2014, this Agreement shall continue through June 30, 2016, provided however, the Clients may terminate this Agreement at any time and without penalty on sixty (60) days written notice to Agent.

 

(b)Exhibit D for each Client, as amended, is hereby deleted in its entirety and replaced with the attached revised Exhibit D.
2.Term of the Amendment. This amendment shall become effective upon due execution and delivery by the parties hereto, and shall remain in effect for so long as the Agreement shall remain in effect.
3.Ratification. Except as expressly set forth herein, the Agreement is not modified hereby and shall remain in full force and effect in accordance with the respective provisions thereof and is in all respects ratified and affirmed.
4.Partial Invalidity. If any provision of this Amendment is held to be invalid or unenforceable, such invalidity or unenforceability shall not invalidate this Amendment as a whole, but this Amendment shall be construed as though it did not contain the particular provision held to be invalid or unenforceable and the rights and obligations of the parties shall be construed and enforced only to such extent as shall be permitted by applicable law.

 

2

 
 
5.Counterparts. This Amendment may be executed in two or more counterparts, each of which, when executed and delivered, shall be deemed an original for all purposes, but all of which together shall constitute one and the same instrument.

 

 

 

 

 

 

 

 

IN WITNESS WHEREOF, the parties hereto have caused these presents to be duly executed as of the day and year first above written.

 

Computershare Inc.

 

 

By: /s/ Martin J. McHale, Jr.

Name: Martin J. McHale, Jr.

Title: President, U.S. Equity Services

 

 

John Hancock Financial Opportunities Fund

John Hancock Hedged Equity & Income Fund

John Hancock Income Securities Trust

John Hancock Investors Trust

John Hancock Preferred Income Fund

John Hancock Preferred Income Fund II

John Hancock Preferred Income Fund III

John Hancock Premium Dividend Fund

John Hancock Tax-Advantaged Dividend Income Fund

John Hancock Tax-Advantaged Global Shareholder Yield Fund

 

 

By: /s/Salvatore Schiavone

Name: Salvatore Schiavone

Title: Treasurer of the Funds listed Above

 

 

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