ERIK D. OJALA, ESQ. Harbor Funds 111 South Wacker Drive – 34th Floor Chicago, Illinois 60606 | CHRISTOPHER P. HARVEY, ESQ. Dechert LLP One International Place – 40th Floor 100 Oliver Street Boston, Massachusetts 02110 |
Item 15. Indemnification
Harbor Funds maintains directors and officers insurance that, subject to the terms, conditions and deductibles of the policy, covers Trustees and officers of Harbor Funds while acting in their capacities as such. The issuer of the policy is the Chubb Custom Insurance Company, Chubb Group of Insurance Companies.
Insofar as indemnification for liability arising under the Securities Act of 1933, as amended (the “Securities Act”), may be permitted to Trustees, officers and controlling persons of Harbor Funds pursuant to the foregoing provisions, or otherwise, Harbor Funds has been advised that in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Securities Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than payment by Harbor Funds of expenses incurred or paid by a Trustee, officer or controlling person of Harbor Funds in the successful defense of any action, suit or proceeding) is asserted by such Trustee, officer or controlling person in connection with the securities being registered, Harbor Funds will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Securities Act and will be governed by the final adjudication of such issue.
Item 16. Exhibits
3) | None |
5) | (a) Article VI of the Amended and Restated Agreement and Declaration of Trust dated December 16, 2016, filed with Post-Effective Amendment No. 131 on October 30, 2017 |
(b) Article III of the Amended and Restated By-Laws dated December 16, 2016, filed with Post-Effective Amendment No. 128 on May 11, 2017
8) | None |
(b) Transfer Agency and Service Agreement Fee Schedule - dated December 1, 2019 – filed with Post-Effective Amendment No. 1 on April 29, 2020
14) | (a) Consent of Independent Public Accounting Firm – filed with Post-Effective Amendment No. 1 on April 29, 2020 |
(b) Consent of Dechert LLP – filed with Post-Effective Amendment No. 1 on April 29, 2020
15) | None |
(b) | Annual Report to Shareholders for Harbor Small Cap Growth Opportunities Fund and Harbor Small Cap Growth Fund for the fiscal year ended October 31, 2019, filed on Form N-CSR on January 3, 2020 |
Item 17. Undertakings
The undersigned Registrant agrees that prior to any public reoffering of the securities registered through the use of a prospectus which is a part of this registration statement by any person or party who is deemed to be an underwriter within the meaning of Rule 145(c) of the Securities Act, the reoffering prospectus will contain the information called for by the applicable registration form for the reofferings by persons who may be deemed underwriters, in addition to the information called for by the other items of the applicable form.
The undersigned registrant agrees that every prospectus that is filed under the paragraph above will be filed as a part of any amendment to the registration statement and will not be used until the amendment is effective, and that, in determining any liability under the Securities Act, each post-effective amendment shall be deemed to be a new Registration Statement for the securities offered therein, and the offering of the securities at that time shall be deemed to be the initial bona fide offering of them.
President and Trustee
Signatures | Title | Date | ||
/s/ Charles F. McCain Charles F. McCain | President and Trustee (Principal Executive Officer) | May 19, 2020 | ||
/s/ Anmarie S. Kolinski Anmarie S. Kolinski | Treasurer (Principal Financial and Accounting Officer) | May 19, 2020 | ||
/s/ Scott M. Amero* Scott M. Amero | Trustee | May 19, 2020 | ||
/s/ Donna J. Dean* Donna J. Dean | Trustee | May 19, 2020 | ||
/s/ Joseph L. Dowling, III* Joseph L. Dowling, III | Trustee | May 19, 2020 | ||
/s/ Randall A. Hack* Randall A. Hack | Trustee | May 19, 2020 | ||
/s/ Robert Kasdin* Robert Kasdin | Trustee | May 19, 2020 | ||
/s/ Kathryn L. Quirk* Kathryn L. Quirk | Trustee | May 19, 2020 | ||
/s/ Douglas J. Skinner* Douglas J. Skinner | Trustee | May 19, 2020 | ||
/s/ Ann M. Spruill* Ann M. Spruill | Trustee | May 19, 2020 |
As Attorney-in-Fact