Grundläggande statistik
| LEI | SVO3N95SCU31K74UKT43 |
| CIK | 889188 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Forward Funds - Salient Tactical Growth Fund Institutional Class
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| February 16, 2023 |
FORM N-8F/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-8F/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): [X] Merger [ ] Liquidation [ ] Abandonment of Registration (Note: Abandonments of Registration answer only questions 1 |
|
| December 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): [X] Merger [ ] Liquidation [ ] Abandonment of Registration (Note: Abandonments of Registration answer only |
|
| November 17, 2022 |
Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2022 Shares Value (See Note 2) Common Stocks: 94. |
|
| November 17, 2022 |
HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2022 Shares Value (See Note 2) Common Stocks: 94. |
|
| November 17, 2022 |
HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2022 Shares Value (See Note 2) Common Stocks: 94. |
|
| November 2, 2022 |
IMPORTANT PROXY REMINDER FOR SHAREHOLDERS OF THE SALIENT SELECT INCOME FUND YOUR VOTE IS NEEDED IMPORTANT PROXY REMINDER FOR SHAREHOLDERS OF THE SALIENT SELECT INCOME FUND RE: Fund Reorganization Dear Shareholder: We have tried unsuccessfully to contact you, whether by mail or by phone, regarding your proxy vote on a very important matter concerning your investment in the Salient Select Income Fund (the ?Fund?). |
|
| October 28, 2022 |
PRIORITY NOTICE PLEASE READ AND RESPOND PRIORITY NOTICE PLEASE READ AND RESPOND October XX, 2022 TO SIGNIFICANT INVESTORS IN THE SALIENT GLOBAL REAL ESTATE FUND: You have been identified as a significant investor in the Salient Global Real Estate Fund (the “Fund”) and we are asking for your help. |
|
| October 17, 2022 |
IMPORTANT INFORMATION REGARDING YOUR INVESTMENT Salient Global Real Estate Fund Salient Select Income Fund Salient MLP & Energy Infrastructure Fund Salient Tactical Growth Fund Salient Tactical Plus Fund Dear Shareholder: As you may know, the Salient Funds (the ?Fund(s)? or ?Existing Fund(s)?) detailed above will be holding a special meeting of shareholders (the ?Meeting?) to ask you to vote on a very important business initiative for each of the Funds. |
|
| October 5, 2022 |
Important Information Regarding Your Clients’ Investments in One or More of the Salient Funds Important Information Regarding Your Clients? Investments in One or More of the Salient Funds Dear Financial Advisor: Your client(s) that had an investment in one or more of the Salient Funds as of the record date of September 22, 2022, will be receiving important proxy information soon. |
|
| October 5, 2022 |
Salient Funds Alternative Outreach Communication Messaging (Start of Campaign Script) ?Hello. |
|
| May 25, 2022 |
Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2022 Shares Value (See Note 2) Common Stocks: 94. |
|
| May 25, 2022 |
Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2022 Shares Value (See Note 2) Common Stocks: 94. |
|
| May 25, 2022 |
Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2022 Shares Value (See Note 2) Common Stocks: 94. |
|
| November 29, 2021 |
Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2021 Shares Value (See Note 2) Common Stocks: 93. |
|
| November 29, 2021 |
Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2021 Shares Value (See Note 2) Common Stocks: 93. |
|
| November 29, 2021 |
Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2021 Shares Value (See Note 2) Common Stocks: 93. |
|
| May 26, 2021 |
Schedule of Investments (See Note 3) (Unaudited) Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2021 Shares Value (See Note 2) Common Stocks: 91. |
|
| May 26, 2021 |
Schedule of Investments (See Note 3) (Unaudited) Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2021 Shares Value (See Note 2) Common Stocks: 91. |
|
| May 26, 2021 |
Schedule of Investments (See Note 3) (Unaudited) Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2021 Shares Value (See Note 2) Common Stocks: 91. |
|
| November 25, 2020 |
Schedule of Investments (See Note 3) (Unaudited) HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2020 Shares Value (See Note 1) Common Stocks: 92. |
|
| November 25, 2020 |
Schedule of Investments (See Note 3) (Unaudited) HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2020 Shares Value (See Note 1) Common Stocks: 92. |
|
| November 25, 2020 |
Schedule of Investments (See Note 3) (Unaudited) HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2020 Shares Value (See Note 1) Common Stocks: 92. |
|
| June 5, 2020 |
CORRESP FORWARD FUNDS 345 California Street, Suite 1600 San Francisco, CA 94104 SALIENT MF TRUST 4265 San Felipe, 8th Floor Houston, TX 77027 June 5, 2020 VIA EDGAR Mr. |
|
| May 27, 2020 |
Schedule of Investments (See Note 3) (Unaudited) HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2020 Shares Value (See Note 1) Common Stocks: 93. |
|
| May 27, 2020 |
Schedule of Investments (See Note 3) (Unaudited) HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2020 Shares Value (See Note 1) Common Stocks: 93. |
|
| May 27, 2020 |
Schedule of Investments (See Note 3) (Unaudited) HTML Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2020 Shares Value (See Note 1) Common Stocks: 93. |
|
| November 25, 2019 |
KIFAX / Salient Select Income Fund NPORT-EX - - NPORT-EX PART F FOR VALIDATION PURPOSES ONLY - [834477.TX] Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2019 Shares Value (See Note 1) Common Stocks: 96.3% Australia: 1.0% Scentre Group 154,000 $ 408,493 Canada: 3.1% Granite Real Estate Investment Trust 11,300 547,152 Summit Industrial Income REIT 71,400 707,614 1,254,766 France: 4.5% Gecina SA 2,800 440,080 Uniba |
|
| November 25, 2019 |
KIRAX / Salient Global Real Estate Fund NPORT-EX - - NPORT-EX PART F FOR VALIDATION PURPOSES ONLY - [834477.TX] Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2019 Shares Value (See Note 1) Common Stocks: 96.3% Australia: 1.0% Scentre Group 154,000 $ 408,493 Canada: 3.1% Granite Real Estate Investment Trust 11,300 547,152 Summit Industrial Income REIT 71,400 707,614 1,254,766 France: 4.5% Gecina SA 2,800 440,080 Uniba |
|
| November 25, 2019 |
PTSCX / Salient International Small Cap Fund NPORT-EX - - NPORT-EX PART F FOR VALIDATION PURPOSES ONLY - [834477.TX] Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2019 Shares Value (See Note 1) Common Stocks: 96.3% Australia: 1.0% Scentre Group 154,000 $ 408,493 Canada: 3.1% Granite Real Estate Investment Trust 11,300 547,152 Summit Industrial Income REIT 71,400 707,614 1,254,766 France: 4.5% Gecina SA 2,800 440,080 Uniba |
|
| November 25, 2019 |
FTGOX / Salient Tactical Growth Fund NPORT-EX - - NPORT-EX PART F FOR VALIDATION PURPOSES ONLY - [834477.TX] Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund September 30, 2019 Shares Value (See Note 1) Common Stocks: 96.3% Australia: 1.0% Scentre Group 154,000 $ 408,493 Canada: 3.1% Granite Real Estate Investment Trust 11,300 547,152 Summit Industrial Income REIT 71,400 707,614 1,254,766 France: 4.5% Gecina SA 2,800 440,080 Uniba |
|
| May 29, 2019 |
NPORT-EX 1 fwdfundpartf3.19v3.htm Schedule of Investments (See Note 3) (Unaudited) Salient Global Real Estate Fund March 31, 2019 Shares Value (See Note 1) Common Stocks: 95.6% Australia: 1.0% Scentre Group 154,000 $ 449,419 Canada: 2.7% Granite Real Estate Investment Trust 11,300 539,907 Summit Industrial Income REIT 71,400 642,752 1,182,659 France: 5.0% Gecina SA 2,800 413,971 Unibail-Rodamco-We |
|
| November 28, 2018 |
Certifications EX-99.CERT CERTIFICATIONS I, John A. Blaisdell, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| November 28, 2018 |
Forward Funds FORM N-Q (Quarterly Schedule of Portfolio Holdings) Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 345 California Street, Suite 1600 San Francisco, CA 94104 (Address of principal executive offices) (Zip code) John |
|
| November 13, 2018 |
DEF 14C 1 d651338ddef14c.htm FORM DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-5(d)(2)) ☒ Definitive Information Stat |
|
| August 29, 2018 |
EX-12 2 d614833dex12.htm EX-12 Exhibit (12) August 22, 2018 Salient Tactical Real Estate Fund a series of Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Salient Global Real Estate Fund a series of Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Re: Reorganization to Combine Series of a Delaware Statutory Trust Ladies and Gentleman: Forward Funds, a |
|
| August 29, 2018 |
As filed with the Securities and Exchange Commission on August 29, 2018 1933 Act Registration No. |
|
| August 17, 2018 |
EX-99.(12) Exhibit (12) August [ ], 2018 Salient Tactical Real Estate Fund a series of Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Salient Global Real Estate Fund a series of Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Re: Reorganization to Combine Series of a Delaware Statutory Trust Ladies and Gentleman: Forward Funds, a Delaware statutory |
|
| August 17, 2018 |
EX-99.(16) Exhibit (16) POWER OF ATTORNEY KNOWN ALL PERSONS BY THESE PRESENTS, that the undersigned constitutes and appoints each of Paul A. Bachtold, John A. Blaisdell, Barbara A. Tolle, Kristen Bayazitoglu and Matt Hibbetts, each an officer of FORWARD FUNDS (the “TRUST”) and each of them, their true and lawful attorneys-in-fact and agents, with full power of substitution and resubstitution for t |
|
| August 17, 2018 |
N-14/A 1 d605758dn14a.htm N-14/A Table of Contents As filed with the Securities and Exchange Commission on August 17, 2018 1933 Act Registration No. 333-226162 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PRE-EFFECTIVE AMENDMENT NO. 2 POST-EFFECTIVE AMENDMENT NO. FORWARD FUNDS (Exact Name of Registrant as |
|
| August 17, 2018 |
EXPENSE LIMITATION AGREEMENT SALIENT INTERNATIONAL REAL ESTATE FUND EX-99.(17) Exhibit (17) EXPENSE LIMITATION AGREEMENT FOR SALIENT INTERNATIONAL REAL ESTATE FUND THIS AGREEMENT, dated as of August 17, 2018, is made and entered into by and between Forward Funds, a Delaware statutory trust (the “Trust”), on behalf of its series, Salient International Real Estate Fund (the “Fund”), and Forward Management, LLC d/b/a Salient (the “Investment Advisor”). WHEREAS, the I |
|
| August 17, 2018 |
EX-99.(11) 2 d605758dex9911.htm EX-99.(11) Exhibit (11) August 17, 2018 Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Ladies and Gentlemen: We have acted as counsel to Forward Funds, a Delaware statutory trust (the “Trust”), and its series, Salient Global Real Estate Fund (the “Acquiring Fund”), in connection with the filing of the registration statement on Form N-14 (the |
|
| August 17, 2018 |
Consent of Independent Registered Public Accounting Firm EX-99.(14) Exhibit (14) Consent of Independent Registered Public Accounting Firm The Board of Trustees and Shareholders of Forward Funds: We consent to the incorporation by reference, in this Registration Statement on Form N-14 (the “Registration Statement”), our report dated February 26, 2018 with respect to the financial statements and financial highlights appearing in the December 31, 2017 Annu |
|
| August 17, 2018 |
SEC Acceleration Request FORWARD FUNDS 345 California Street, Suite 1600 San Francisco, CA 94104 August 17, 2018 VIA EDGAR U. |
|
| August 17, 2018 |
CORRESP 1 filename1.htm FORWARD FUNDS 345 California Street, Suite 1600 San Francisco, CA 94104 August 17, 2018 VIA EDGAR Mr. John Ganley U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-8626 RE: Forward Funds (the “Registrant”) File No. 333-226162 Registration Statement on Form N-14 Dear Mr. Ganley: Pursuant to your request, this |
|
| August 8, 2018 |
DEL AM 1 d590376ddelam.htm DEL AM As filed with the Securities and Exchange Commission on August 8, 2018 1933 Act Registration No. 333-226162 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PRE-EFFECTIVE AMENDMENT NO. 1 POST-EFFECTIVE AMENDMENT NO. FORWARD FUNDS (Exact Name of Registrant as Specified in Chart |
|
| July 13, 2018 |
Consent of Independent Registered Public Accounting Firm EX-99.(14) Exhibit (14) Consent of Independent Registered Public Accounting Firm The Board of Trustees and Shareholders of Forward Funds: We consent to the incorporation by reference, in this Registration Statement on Form N-14 (the “Registration Statement”), our report dated February 26, 2018 with respect to the financial statements and financial highlights appearing in the December 31, 2017 Annu |
|
| July 13, 2018 |
Table of Contents As filed with the Securities and Exchange Commission on July 13, 2018 1933 Act Registration No. |
|
| July 13, 2018 |
EXPENSE LIMITATION AGREEMENT SALIENT INTERNATIONAL REAL ESTATE FUND EX-99.(17) Exhibit (17) EXPENSE LIMITATION AGREEMENT FOR SALIENT INTERNATIONAL REAL ESTATE FUND THIS AGREEMENT, dated as of July 1, 2018, is made and entered into by and between Forward Funds, a Delaware statutory trust (the “Trust”), on behalf of its series, Salient International Real Estate Fund (the “Fund”), and Forward Management, LLC d/b/a Salient (the “Investment Advisor”). WHEREAS, the Inve |
|
| July 13, 2018 |
EX-99.(11) Exhibit (11) DRAFT: SUBJECT TO OPINION COMMITTEE REVIEW August [ ], 2018 Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Ladies and Gentlemen: We have acted as counsel to Forward Funds, a Delaware statutory trust (the “Trust”), and its series, Salient Global Real Estate Fund (the “Acquiring Fund”), in connection with the filing of the registration statement on Fo |
|
| July 13, 2018 |
EX-99.(12) Exhibit (12) DRAFT: SUBJECT TO OPINION COMMITTEE REVIEW August [ ], 2018 Salient Tactical Real Estate Fund a series of Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Salient Global Real Estate Fund a series of Forward Funds 345 California Street, Suite 1600 San Francisco, CA 94104 Re: Reorganization to Combine Series of a Delaware Statutory Trust Ladies and Gent |
|
| May 25, 2018 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 345 California Street, Suite 1600 San Francisco, CA 94104 (Address of principal executive offices) (Zip code) With |
|
| May 25, 2018 |
Certifications EX-99.CERT CERTIFICATIONS I, John A. Blaisdell, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| February 28, 2018 |
Report of Independent Registered Public Accounting Firm ex77b2017forwardfunds.htm - Generated by SEC Publisher for SEC Filing Report of Independent Registered Public Accounting Firm The Shareholders and Board of Trustees of Forward Funds: In planning and performing our audits of the financial statements of Forward Funds (the ?Funds?) (comprised of Salient Adaptive Balanced Fund, Salient Adaptive Income Fund, Salient Adaptive US Equity Fund, Salient EM |
|
| February 28, 2018 |
SUB-ITEM 77D: Policies With Respect to Security Investments SUB-ITEM 77D: Policies With Respect to Security Investments Salient Tactical Muni & Credit Fund Effective August 2, 2017, the ?Principal Investment Strategies? of the Salient Tactical Muni & Credit Fund (the ?Fund?) were revised to reflect that the Fund seeks to take advantage of relative value, cross-over trading opportunities and market anomalies and inefficiencies across a wide array of the credit markets. |
|
| November 27, 2017 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) John |
|
| November 27, 2017 |
Certifications EX-99.CERT CERTIFICATIONS I, John A. Blaisdell, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| August 28, 2017 |
SUB-ITEM 77D: Policies With Respect to Security Investments SUB-ITEM 77D: Policies With Respect to Security Investments Salient Adaptive Balanced Fund Effective May 1, 2017, the ?Principal Investment Strategies? of the Salient Adaptive Balanced Fund (the ?Fund?) were revised to reflect that the Fund is a risk-targeted portfolio that invests primarily in other Salient Funds (the ?Underlying Funds?), exchange-traded funds, exchange-traded notes, futures and other derivatives in order to gain exposure to global equity markets, global interest rate markets, global credit markets, and global commodity markets. |
|
| August 28, 2017 |
SUB ITEM 77I: Terms of New or Amended Securities EX-99.77I NEW SECUR 3 forwardfundsitem77itermsofne.htm SUB ITEM 77I: Terms of New or Amended Securities A copy of the Registrant’s Amended and Restated Multiple Class Plan pursuant to Rule 18f-3 is incorporated by reference as filed as Exhibit (n) via EDGAR on April 28, 2017 in Post-Effective Amendment No. 125 to the Registrant’s registration statement on Form N 1A under the 1933 Act and Amendment |
|
| August 28, 2017 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws: EX-99.77Q1 OTHR EXHB 4 forwardfundsitem77q1exhibitl.htm SUB ITEM 77Q1. Exhibits 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws: A copy of the Registrant’s Amended Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant is incorporated by reference as filed as Exhibit (a)(2) via EDGAR on April 28, 2017 in Post-Effective Amendment |
|
| July 11, 2017 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 July 11, 2017 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 July 11, 2017 VIA EDGAR Mr. |
|
| June 15, 2017 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 June 15, 2017 VIA EDGAR Mr. |
|
| May 25, 2017 |
N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) John A. B |
|
| May 25, 2017 |
EX-99.CERT EX-99.CERT CERTIFICATIONS I, John A. Blaisdell, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mislead |
|
| February 28, 2017 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm The Shareholders and Board of Trustees of Forward Funds: In planning and performing our audits of the financial statements of Forward Funds (the Funds) (comprised of Salient Tactical Muni & Credit Fund, Salient US Dividend Signal Fund, Salient Tactical Growth Fund, Salient International Small Cap Fund, Salient International Dividend Signal Fu |
|
| November 28, 2016 |
EX-99.CERT EX-99.CERT CERTIFICATIONS I, John A. Blaisdell, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mislead |
|
| November 28, 2016 |
N-Q 1 d477665dnq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) |
|
| August 29, 2016 |
AGREEMENT AND PLAN OF REORGANIZATION EX-99.77Q1 OTHR EXHB 3 exhibit77q1g-ffagreementandp.htm AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION (the Agreement ) is made as of the 22nd day of January, 2016 by Forward Funds (the Trust ), a Delaware statutory trust with its principal place of business at 101 California Street, 16th Floor, San Francisco, California 94111, on behalf of each of its investment se |
|
| August 29, 2016 |
SUB-ITEM 77D: Policies With Respect to Security Investments item77d.htm - Generated by SEC Publisher for SEC Filing SUB-ITEM 77D: Policies With Respect to Security Investments Salient Adaptive Balanced Fund Effective January 22, 2016, the Principal Investment Strategies of the Salient Adaptive Balanced Fund (the Fund) (prior to May 1, 2016 known as the Forward Growth Allocation Fund) were revised to reflect that (i) the Fund s advisor, Forward Management, |
|
| August 29, 2016 |
77Q1(a) Copies of any material amendments to the registrant s charter or by-laws: EX-99.77Q1 OTHR EXHB 5 item77q1ffexhibitlist.htm SUB ITEM 77Q1. Exhibits 77Q1(a) Copies of any material amendments to the registrant s charter or by-laws: (1) (i) A copy of the Registrant s Amended and Restated Declaration of Trust is incorporated by reference as filed as Exhibit (a)(1) via EDGAR in Post-Effective Amendment Number 123 on April 29, 2016, accession number 0001193125-16-569516. (ii) |
|
| August 29, 2016 |
Amended and Restated Agreement and Declaration of Trust Exhibit 77Q1(a)(1)(ii). SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Salient Adaptive Balanced Fund Investor Class Institutional Class Class A Class C Salient Adaptive Income Fund Investor Class Institutional Class Class A Class C Salient Adaptive US Equity Fund Investor Class Institutional Class Class |
|
| August 29, 2016 |
EX-99.77M MERGERS 6 sub-item77mffmergers.htm SUB-ITEM 77M. 1(a). Each of the Forward Multi-Strategy Fund and the Forward Growth & Income Allocation Fund merged with and into the Salient Adaptive Balanced Fund on January 22, 2016. 1(b). Information regarding the circumstances and details of the merger of the Forward Multi-Strategy Fund and the Forward Growth & Income Allocation Fund with and into t |
|
| August 29, 2016 |
Amended and Restated Agreement and Declaration of Trust Exhibit 77Q1(a)(1)(ii). SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Salient Adaptive Balanced Fund Investor Class Institutional Class Class A Class C Salient Adaptive Income Fund Investor Class Institutional Class Class A Class C Salient Adaptive US Equity Fund Investor Class Institutional Class Class |
|
| August 29, 2016 |
AGREEMENT AND PLAN OF REORGANIZATION EX-99.77Q1 OTHR EXHB 3 exhibit77q1g-ffagreementandp.htm AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION (the Agreement ) is made as of the 22nd day of January, 2016 by Forward Funds (the Trust ), a Delaware statutory trust with its principal place of business at 101 California Street, 16th Floor, San Francisco, California 94111, on behalf of each of its investment se |
|
| August 29, 2016 |
77Q1(a) Copies of any material amendments to the registrant s charter or by-laws: EX-99.77Q1 OTHR EXHB 5 item77q1ffexhibitlist.htm SUB ITEM 77Q1. Exhibits 77Q1(a) Copies of any material amendments to the registrant s charter or by-laws: (1) (i) A copy of the Registrant s Amended and Restated Declaration of Trust is incorporated by reference as filed as Exhibit (a)(1) via EDGAR in Post-Effective Amendment Number 123 on April 29, 2016, accession number 0001193125-16-569516. (ii) |
|
| August 29, 2016 |
EX-99.77M MERGERS 6 sub-item77mffmergers.htm SUB-ITEM 77M. 1(a). Each of the Forward Multi-Strategy Fund and the Forward Growth & Income Allocation Fund merged with and into the Salient Adaptive Balanced Fund on January 22, 2016. 1(b). Information regarding the circumstances and details of the merger of the Forward Multi-Strategy Fund and the Forward Growth & Income Allocation Fund with and into t |
|
| August 29, 2016 |
SUB-ITEM 77D: Policies With Respect to Security Investments item77d.htm - Generated by SEC Publisher for SEC Filing SUB-ITEM 77D: Policies With Respect to Security Investments Salient Adaptive Balanced Fund Effective January 22, 2016, the Principal Investment Strategies of the Salient Adaptive Balanced Fund (the Fund) (prior to May 1, 2016 known as the Forward Growth Allocation Fund) were revised to reflect that (i) the Fund s advisor, Forward Management, |
|
| June 1, 2016 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 June 1, 2016 VIA EDGAR Mr. |
|
| May 26, 2016 |
N-Q 1 d136166dnq.htm N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) |
|
| May 26, 2016 |
EX-99.CERT EX-99.CERT CERTIFICATIONS I, John A. Blaisdell, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mislead |
|
| February 29, 2016 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 3 item77bforwardfundsnsarlette.htm Report of Independent Registered Public Accounting Firm The Shareholders and Board of Trustees of Forward Funds: In planning and performing our audit of the financial statements and consolidated financial statements, as applicable, of Forward Funds (the Funds) (comprised of Forward Credit Analysis Long/Short Fund, Forward Dynamic Income Fund, |
|
| February 29, 2016 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 SEC Transmittal Letter FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 February 29, 2016 VIA EDGAR U. |
|
| February 29, 2016 |
SUB-ITEM 77D: Policies With Respect to Security Investments SUB-ITEM 77D: Policies With Respect to Security Investments Forward Balanced Allocation Fund, Forward Growth & Income Allocation Fund, Forward Growth Allocation Fund, Forward Income Builder Fund and Forward Multi-Strategy Fund Effective August 24, 2015, each of the Forward Balanced Allocation Fund, Forward Growth & Income Allocation Fund, Forward Growth Allocation Fund, Forward Income Builder Fund and Forward Multi-Strategy Funds? (each, a ?Fund?) ?Principal Investment Strategies? were revised to reflect that Fund primarily invests in other Forward Funds and certain of the related investment companies managed by subsidiaries of Salient Partners, L. |
|
| December 30, 2015 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 December 30, 2015 VIA EDGAR U. |
|
| December 30, 2015 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 December 30, 2015 VIA EDGAR Ms. |
|
| November 25, 2015 |
Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) John |
|
| November 25, 2015 |
Certifications EX-99.CERT CERTIFICATIONS I, John A. Blaisdell, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| November 2, 2015 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 November 2, 2015 VIA EDGAR Ms. |
|
| November 2, 2015 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 SEC Transmittal Letter FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 November 2, 2015 VIA EDGAR U. |
|
| October 30, 2015 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 October 30, 2015 VIA EDGAR U. |
|
| September 4, 2015 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 September 4, 2015 VIA EDGAR Ms. |
|
| September 4, 2015 |
FORWARD FUNDS 101 California Street, 16 Floor San Francisco, CA 94111 SEC Letter FORWARD FUNDS 101 California Street, 16 Floor San Francisco, CA 94111 September 4, 2015 VIA EDGAR U. |
|
| August 27, 2015 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT EX-99.77Q1 OTHR EXHB 13 exhibit77q1e5pictetsubadviso.htm FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of June 9, 2015, is by and among Pictet Asset Management Ltd (the “Sub-Advisor”), Forward Funds (the “Trust”), on behalf of the Forward International Small Companies Fund, a series of the Trust (the “Fund”), and Forward Managemen |
|
| August 27, 2015 |
FORWARD FUNDS INVESTMENT MANAGEMENT AGREEMENT FORWARD FUNDS INVESTMENT MANAGEMENT AGREEMENT AGREEMENT, effective as of June 9, 2015, between Forward Management, LLC (?Forward Management? or the ?Investment Advisor?) and Forward Funds (the ?Trust?) on behalf of the series of the Trust listed on Exhibit A (the ?Funds?). |
|
| August 27, 2015 |
SUB-ITEM 77K CHANGES IN REGISTRANT'S CERTIFYING ACCOUNTANT EX-99.77K CHNG ACCNT 4 forwardfunds63015nsaritem77k.htm SUB-ITEM 77K CHANGES IN REGISTRANT'S CERTIFYING ACCOUNTANT At a meeting held on June 9, 2015, the Board of Trustees, with the approval and recommendation of the Audit Committee, selected KPMG LLP (“KPMG”) to serve as the Funds’ independent registered public accounting firm for the Funds’ fiscal year ending December 31, 2015. The decision to s |
|
| August 27, 2015 |
SUB-ITEM 77D: Policies With Respect to Security Investments SUB-ITEM 77D: Policies With Respect to Security Investments Forward U. S. Government Money Fund Effective May 1, 2015, the Fund?s ?Principal Investment Strategies? were revised to disclose that the Fund, under normal conditions, invests 99.5% or more of its total assets in cash, obligations issued or guaranteed by the U.S. Government, its agencies, or instrumentalities, including government sponso |
|
| August 27, 2015 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT EX-99.77Q1 OTHR EXHB 12 exhibit77q1e4broadmarksubadv.htm FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of June 9, 2015, is by and among Broadmark Asset Management, LLC (the “Sub-Advisor”), Forward Funds (the “Trust”), on behalf of the Forward Tactical Growth Fund, a series of the Trust (the “Fund”), and Forward Management, LLC (th |
|
| August 27, 2015 |
EX-99.77C VOTES 2 forwardfunds63015nsaritem77c.htm Exhibit 77C Shareholder Voting Results (Unaudited) Forward Funds Special Meeting of Shareholders May 6, 2015 May 29, 2015 Special Meetings of the Shareholders of each of the series of Forward Funds (the “Trust”), were held on May 6, 2015 (the “May 6, 2015 Meeting”) and May 29, 2015 (the “May 29, 2015 Meeting”) to approve proposals in connection wi |
|
| August 27, 2015 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; EX-99.77Q1 OTHR EXHB 5 exhibitlistitem7763015nsar.htm 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Amended and Restated Agreement and Declaration of Trust of Forward Funds (the “Registrant”), dated June 9, 2005, amended as of March 18, 2015, filed herewith. (a)(2) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant |
|
| August 27, 2015 |
EX-99.77Q1 OTHR EXHB 10 exhibit77q1e2exhibitatofminv.htm EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Balanced Allocation Fund 0.10% Forward Commodity Long/Short Strategy Fund 1.00% Forward Credit Analysis Long/Short Fund 1.00% Forward Dynamic Income Fund 0.80% Forward EM Corporate Debt Fund 0.70% up to and including $500 million 0.64% over $500 million up to and includin |
|
| August 27, 2015 |
[pwc logo] Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 August 21, 2015 Commissioners: We have read the statements made by Forward Funds (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 77K of Form N-SAR, as part of the Form N-SAR of Forward Funds dated June 30, 2015. We agree with the statements concerni |
|
| August 27, 2015 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT EX-99.77Q1 OTHR EXHB 14 exhibit77q1e6pimcosubadvisor.htm FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”), effective as of June 9, 2015 (the “Effective Date”), is by and among Pacific Investment Management Company LLC (the “Sub-Advisor” or “PIMCO”), Forward Funds (the “Trust”), on behalf of the Forward Credit Analysis Long/Short Fund, a series of |
|
| August 27, 2015 |
FORWARD FUNDS A Delaware Statutory Trust * * * * * * * * AMENDED AND RESTATED BY-LAWS Dated December 8, 2005 as Amended December 7, 2006, March 4, 2009, September 25, 2009, and March 18, 2015 * * * * * * * * ARTICLE I Offices Section 1. |
|
| August 27, 2015 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of FORWARD FUNDS, a Delaware Statutory Trust Effective June 9, 2005 As amended on March 18, 2015 TABLE OF CONTENTS Page ARTICLE I Name and Definitions . |
|
| August 27, 2015 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (?Agreement?) effective as of June 9, 2015, is by and among First Western Capital Management Company (the ?Sub-Advisor?), Forward Funds (the ?Trust?), on behalf of the Forward High Yield Bond Fund, a series of the Trust (the ?Fund?), and Forward Management, LLC (the ?Advisor?). |
|
| August 27, 2015 |
SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Commodity Long/Short Strategy Fund Investor Class Institutional Class Class C Advisor Class Class Z Forward Credit Analysis Long/Short Fund Investor Class Institutiona |
|
| May 26, 2015 |
Certifications EX-99.CERT CERTIFICATIONS I, Robert S. Naka, certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the registrant); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mislea |
|
| May 26, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) Robert S. Nak |
|
| April 29, 2015 |
FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 FORWARD FUNDS 101 California Street, 16th Floor San Francisco, CA 94111 April 29, 2015 VIA EDGAR Ms. |
|
| March 10, 2015 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitte |
|
| March 9, 2015 |
1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
|
| February 26, 2015 |
Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| February 26, 2015 |
FORWARD FUNDS Exhibit 77Q1(e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Balanced Allocation Fund 0. |
|
| February 26, 2015 |
Converted by EDGARwiz Item 77Q1(a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Commodity Long/Short Strategy Fund Investor Class Institutional Class Class C Advisor Class Class Z Forward Core Strategy Long/Sh |
|
| February 26, 2015 |
FORWARD FUNDS Exhibit 77Q1(e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1. |
|
| February 26, 2015 |
Report of Independent Registered Public Accounting Firm Converted by EDGARwiz Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Forward Funds In planning and performing our audits of the financial statements and the consolidated financial statements, as applicable, of the Forward Balanced Allocation Fund, Forward Commodity Long/Short Strategy Fund, Forward Credit Analysis Long/Short Fund, Forward Dynam |
|
| February 26, 2015 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| February 20, 2015 |
SEC Transmittal Letter February 20, 2015 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-4720 Re: Forward Funds File Nos. 033-48940 and 811-06722 Ladies and Gentlemen: Attached for filing via EDGAR on behalf of Forward Funds (the “Trust”), pursuant to Rule 14a-6(a) under the Securities Exchange Act of 1934, as amended, is a preliminary proxy statement, inc |
|
| February 20, 2015 |
Forward Funds PRE 14A - - PRELIMINARY PROXY STATEMENT Table of Contents As filed with the Securities and Exchange Commission on February 20, 2015 1933 Act Registration No. |
|
| February 18, 2015 |
SEC Transmittal Letter February 18, 2015 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post-Effective Amendment No. 111 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered op |
|
| November 24, 2014 |
N-Q 1 d820865dnq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive off |
|
| November 24, 2014 |
Section 302 Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were m |
|
| May 27, 2014 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. Alan Reid, |
|
| May 27, 2014 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| April 30, 2014 |
SEC Response Letter April 30, 2014 Ms. Amy Miller & Mr. Ken Ellington U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 109 and Amendment No. 109 Dear Ms. Miller and Mr. Ellington: Pursuant to your request, this letter responds to c |
|
| April 29, 2014 |
EX-99.77E LEGAL 5 exe1exatoima22613.htm Exhibit (e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1.00% Forward Core Strategy Long/Short Fund 1.00% Forward Credit Analysis Long/Short Fund 1.50% Forward EM Corporate Debt Fund 0.70% up to and including $500 million 0.64% over $500 million up to and including $1 billion 0.58% over $1 bill |
|
| April 29, 2014 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| April 29, 2014 |
Converted by EDGARwiz Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| April 29, 2014 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit (a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Commodity Long/Short Strategy Fund Investor Class Institutional Class Class C Class M Class Z Fo |
|
| April 29, 2014 |
FORWARD FUNDS Exhibit (e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Balanced Allocation Fund 0. |
|
| April 29, 2014 |
Report of Independent Registered Public Accounting Firm Converted by EDGARwiz Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Forward Funds In planning and performing our audits of the financial statements of the Forward Global Infrastructure Fund, Forward International Real Estate Fund, Forward Real Estate Fund, Forward Real Estate Long/Short Fund, Forward Select Income Fund, Forward Extended MarketPlus Fund, Forward Frontier Strategy Fund, Forward High Yield Bond Fund, Forward Investment Grade Fixed-Income Fund, Forward Strategic Alternatives Fund, Forward U. |
|
| April 28, 2014 |
Forward Funds Response to Item 77E SUB-ITEM 77E: Legal Proceedings Lehman Brothers Holdings Inc. |
|
| April 28, 2014 |
THIRD AMENDMENT TO SUB-ADVISORY AGREEMENT Converted by EDGARwiz Exhibit (e)(2) THIRD AMENDMENT TO SUB-ADVISORY AGREEMENT This third amendment (the “Third Amendment”) to the Sub-Advisory Agreement (the “Agreement”) dated as of July 1, 2005, as amended and restated as of December 1, 2007, as further amended as of January 2, 2009 and as of November 1, 2009, between Pictet Asset Management Ltd (the “Sub-Advisor”), Forward Funds (the “Trust”), |
|
| April 28, 2014 |
FORWARD FUNDS Exhibit (e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1. |
|
| April 28, 2014 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit (a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Commodity Long/Short Strategy Fund Investor Class Institutional Class Class C Advisor Class Clas |
|
| April 28, 2014 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| April 28, 2014 |
Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| April 28, 2014 |
Report of Independent Registered Public Accounting Firm Converted by EDGARwiz Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Forward Funds In planning and performing our audits of the financial statements of the Forward Balanced Allocation Fund, Forward Commodity Long/Short Strategy Fund, Forward Credit Analysis Long/Short Fund, Forward Dynamic Income Fund, Forward EM Corporate Debt Fund, Forward Em |
|
| April 28, 2014 |
Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| April 28, 2014 |
Forward Funds Response to Item 77E SUB-ITEM 77E: Legal Proceedings Lehman Brothers Holdings Inc. |
|
| April 28, 2014 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| April 28, 2014 |
AMENDMENT TO SUB-ADVISORY AGREEMENT Converted by EDGARwiz Exhibit (e)(3) AMENDMENT TO SUB-ADVISORY AGREEMENT This amendment (the “Amendment”) to the Sub-Advisory Agreement (the “Agreement”) dated December 7, 2006, as amended and restated as of November 14, 2007, between Cedar Ridge Partners, LLC (the “Sub-Advisor”), Forward Funds (the “Trust”), on behalf of the Forward Long/Short Credit Analysis Fund, a series of the Trust (the “Fun |
|
| April 28, 2014 |
Converted by EDGARwiz Exhibit (e)(3) FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”), effective as of November 13, 2013 (the “Effective Date”), is by and among Pacific Investment Management Company LLC (the “Sub-Advisor” or “PIMCO”), Forward Funds (the “Trust”), on behalf of the Forward Credit Analysis Long/Short Fund (the “Fund”), a series of the Trust, and Forward Management, LLC (the “Advisor”) (individually, a “Party” and collectively, “the Parties”). |
|
| April 28, 2014 |
FORWARD FUNDS Exhibit (q)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1. |
|
| April 21, 2014 |
SEC Response Letter 2010 Main Street Suite 500 Irvine, CA 92614-7269 +1 949 442 6000 Main +1 949 442 6010 Fax www. |
|
| February 27, 2014 |
THIRD AMENDMENT TO SUB-ADVISORY AGREEMENT Converted by EDGARwiz Exhibit (e)(2) THIRD AMENDMENT TO SUB-ADVISORY AGREEMENT This third amendment (the “Third Amendment”) to the Sub-Advisory Agreement (the “Agreement”) dated as of July 1, 2005, as amended and restated as of December 1, 2007, as further amended as of January 2, 2009 and as of November 1, 2009, between Pictet Asset Management Ltd (the “Sub-Advisor”), Forward Funds (the “Trust”), |
|
| February 27, 2014 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit (a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Commodity Long/Short Strategy Fund Investor Class Institutional Class Class C Advisor Class Clas |
|
| February 27, 2014 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| February 27, 2014 |
FORWARD FUNDS Exhibit (q)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1. |
|
| February 27, 2014 |
Forward Funds Response to Item 77E SUB-ITEM 77E: Legal Proceedings Lehman Brothers Holdings Inc. |
|
| February 27, 2014 |
Converted by EDGARwiz Exhibit (e)(3) FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”), effective as of November 13, 2013 (the “Effective Date”), is by and among Pacific Investment Management Company LLC (the “Sub-Advisor” or “PIMCO”), Forward Funds (the “Trust”), on behalf of the Forward Credit Analysis Long/Short Fund (the “Fund”), a series of the Trust, and Forward Management, LLC (the “Advisor”) (individually, a “Party” and collectively, “the Parties”). |
|
| February 27, 2014 |
Report of Independent Registered Public Accounting Firm Converted by EDGARwiz Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Forward Funds In planning and performing our audits of the financial statements of the Forward Balanced Allocation Fund, Forward Commodity Long/Short Strategy Fund, Forward Credit Analysis Long/Short Fund, Forward Dynamic Income Fund, Forward EM Corporate Debt Fund, Forward Em |
|
| February 27, 2014 |
Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| February 19, 2014 |
SEC Transmittal Letter February 19, 2014 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 108 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered op |
|
| December 23, 2013 |
- DEFINITIVE INFORMATION STATEMENT Definitive Information Statement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| November 22, 2013 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| November 22, 2013 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. A |
|
| August 28, 2013 |
AMENDMENT TO SUB-ADVISORY AGREEMENT Converted by EDGARwiz Exhibit (e)(3) AMENDMENT TO SUB-ADVISORY AGREEMENT This amendment (the “Amendment”) to the Sub-Advisory Agreement (the “Agreement”) dated December 7, 2006, as amended and restated as of November 14, 2007, between Cedar Ridge Partners, LLC (the “Sub-Advisor”), Forward Funds (the “Trust”), on behalf of the Forward Long/Short Credit Analysis Fund, a series of the Trust (the “Fun |
|
| August 28, 2013 |
FORWARD FUNDS Exhibit (e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Balanced Allocation Fund 0. |
|
| August 28, 2013 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| August 28, 2013 |
Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| August 28, 2013 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit (a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Commodity Long/Short Strategy Fund Investor Class Institutional Class Class C Advisor Class Clas |
|
| August 28, 2013 |
FORWARD FUNDS Exhibit (e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1. |
|
| August 28, 2013 |
Forward Funds Response to Item 77E SUB-ITEM 77E: Legal Proceedings Lehman Brothers Holdings Inc. |
|
| July 31, 2013 |
July 31, 2013 Ms. Anu Dubey Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 106 and Amendment No. 106 Dear Ms. Dubey: On behalf of the Registrant, attached hereto is Post-Effective Amendment No. 106 (“PEA 106”) to the Registrant’s regi |
|
| May 30, 2013 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. A |
|
| May 30, 2013 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| May 17, 2013 |
Letter to the SEC May 17, 2013 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post-Effective Amendment No. 104 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end man |
|
| April 30, 2013 |
SEC Response Letter April 30, 2013 Ms. Anu Dubey Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 103 and Amendment No. 103 Dear Ms. Dubey: Pursuant to your request, this letter responds to comments provided by the Staff of the U.S. Sec |
|
| March 19, 2013 |
Correspondence to SEC March 19, 2013 Anu Dubey U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 102 Dear Madam, Pursuant to our telephone conversation on March 13, 2013, this letter responds to your request for additional information about the ch |
|
| February 28, 2013 |
FORWARD FUNDS Exhibit (e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1. |
|
| February 28, 2013 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| February 28, 2013 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit (a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Commodity Long/Short Strategy Fund Investor Class Institutional Class Class C Class M Class Z Fo |
|
| February 28, 2013 |
Report of Independent Registered Public Accounting Firm Converted by EDGARwiz Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Forward Funds In planning and performing our audits of the financial statements of the Forward Global Infrastructure Fund, Forward International Real Estate Fund, Forward Real Estate Fund, Forward Real Estate Long/Short Fund, Forward Select Income Fund, Forward Extended MarketPlus Fund, Forward Frontier Strategy Fund, Forward High Yield Bond Fund, Forward Investment Grade Fixed-Income Fund, Forward Strategic Alternatives Fund, Forward U. |
|
| February 28, 2013 |
FORWARD FUNDS Exhibit (e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Balanced Allocation Fund 0. |
|
| February 28, 2013 |
Converted by EDGARwiz Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| February 11, 2013 |
SEC Letter February 11, 2013 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 102 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end manag |
|
| November 26, 2012 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. Alan Reid, |
|
| November 26, 2012 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| November 1, 2012 |
Letter to the SEC November 1, 2012 Mr. John Ganley Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 100 and Amendment No. 100 (“PEA 100”) Dear Mr. Ganley: On behalf of the Registrant, attached hereto is Post-Effective Amendment No. 100 |
|
| August 31, 2012 |
Letter to the SEC August 31, 2012 VIA EDGAR Ms. Sheila Stout U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street NE Washington D.C. 20549-8626 RE: Forward Funds (the “Registrant” or the “Fund(s)”) Investment Company Act File No. 811-06722 Dear Ms. Stout, On behalf of the Registrant, this letter responds to your comment communicated |
|
| August 29, 2012 |
Letter to the SEC August 29, 2012 VIA EDGAR Ms. Sheila Stout U.S. Securities and Exchange Commission Division of Investment Management Office of Disclosure and Review 100 F Street NE Washington D.C. 20549-8626 RE: Forward Funds (the “Registrant” or the “Fund(s)”) Investment Company Act File No. 811-06722 Dear Ms. Stout, On behalf of the Registrant, this letter responds to your comments communicate |
|
| August 28, 2012 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit 77 Q1(a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Aggressive Growth Allocation Fund Investor Class Institutional Class Class A Class C Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forwar |
|
| August 28, 2012 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, filed herewith. |
|
| August 28, 2012 |
FORWARD FUNDS Exhibit 77 Q1(e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Commodity Long/Short Strategy Fund 1. |
|
| August 28, 2012 |
Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| August 28, 2012 |
FORWARD FUNDS Exhibit 77 Q1(e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Aggressive Growth Allocation Fund 0. |
|
| August 15, 2012 |
August 15, 2012 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post-Effective Amendment No. 99 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end management investme |
|
| May 25, 2012 |
Quarterly Schedule of Portfolio Holdings - FORM N-Q Form N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, 16th Floor San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. A |
|
| May 25, 2012 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| April 30, 2012 |
SEC Response Letter April 30, 2012 Mr. John Ganley Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 97 and Amendment No. 97 Dear Mr. Ganley: On behalf of the Registrant, attached hereto is Post-Effective Amendment No. 97 (“PEA 97”) to t |
|
| February 29, 2012 |
FORWARD FUNDS AMENDED AND RESTATED INVESTMENT MANAGEMENT AGREEMENT EX-99.77Q1 OTHR EXHB 6 fwdq1e1.htm Exhibit 77 Q1(e)(1) FORWARD FUNDS AMENDED AND RESTATED INVESTMENT MANAGEMENT AGREEMENT AGREEMENT, effective as of May 1, 2005 and amended and restated as of January 8, 2008, March 5, 2008 and December 15, 2011, between Forward Management, LLC (“Forward Management” or the “Investment Advisor”) and Forward Funds (the “Trust”) on behalf of the series of the Trust li |
|
| February 29, 2012 |
Letter to the SEC February 29, 2012 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 96 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end |
|
| February 29, 2012 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 fwd77b.htm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholdersof Forward Funds In planning and performing our audits of the financial statements of the Forward Global Infrastructure Fund, the Forward International Real Estate Fund, the Forward Real Estate Fund, the Forward Real Estate Long/Short Fund (formerly known as Forward Str |
|
| February 29, 2012 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; EX-99.77Q1 OTHR EXHB 4 fwdlist.htm 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, incorporated by reference to Exhibit (a)(2) to Post-Effective Amendment No. 90 to this Registration Statement filed with the Commission on December 29, 2011. 77Q1(e) Copies of any new |
|
| February 29, 2012 |
EX-99.77D POLICIES 3 fwd77d.htm Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. Forward International Small Companies Fund Effective November 14, 2011, the Fund’s “Principal Investment Strategies” were changed in order to allow the purchase of ETFs and derivatives, including futures, swap agreements and structured notes, to “equitize” cash flows in |
|
| February 29, 2012 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT EX-99.77Q1 OTHR EXHB 7 fwdq1e2.htm Exhibit 77 Q1(e)(2) FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of September 30, 2011, is by and among SW Asset Management, LLC (the “Sub-Advisor”), Forward Funds (the “Trust”), on behalf of the Forward Global Credit Long/Short Fund, a series of the Trust (the “Fund”), and Forward Management, L |
|
| February 29, 2012 |
Exhibit 77 Q1(a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Aggressive Growth Allocation Fund Investor Class Institutional Class Class A Class C Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Banking and Finance Fund Advisor Class Investor Class |
|
| February 28, 2012 |
Form DEF 14C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) x Definitive Information Statement FORWARD FUNDS (Name of Registrant a |
|
| January 30, 2012 |
January 30, 2012 Mr. John Ganley Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 94 and Amendment No. 94 (“PEA 94”) Dear Mr. Ganley: On behalf of the Registrant, attached hereto is Post-Effective Amendment No. 94 (“PEA 94”) to the Regi |
|
| December 28, 2011 |
SEC Response Letter December 28, 2011 Mr. John Ganley Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 90 and Amendment No. 90 (“PEA 90”) Dear Mr. Ganley: Pursuant to your request, this letter responds to comments provided by the Staff |
|
| December 28, 2011 |
SEC Response Letter December 28, 2011 Mr. John Ganley Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 91 and Amendment No. 91 (“PEA 91”) Dear Mr. Ganley: Pursuant to your request, this letter responds to comments provided by the Staff |
|
| November 23, 2011 |
EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the ?registrant?); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with re |
|
| November 23, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, Suite 1600 San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. Alan Reid, |
|
| November 16, 2011 |
CORRESP November 16, 2011 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post-Effective Amendment No. 89 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end managemen |
|
| October 7, 2011 |
SEC Transmittal Letter October 7, 2011 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post-Effective Amendment No. 87 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open- |
|
| October 7, 2011 |
October 7, 2011 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post-Effective Amendment No. 86 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the ?Trust?), a registered open-end management investme |
|
| September 29, 2011 |
SEC Letter September 29, 2011 Mr. Chad Eskildsen Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 84 and Amendment No. 84 Dear Mr. Eskildsen: Pursuant to your request, this letter responds to comments provided by the Staff of the U.S. S |
|
| August 29, 2011 |
Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. |
|
| August 29, 2011 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit 77 Q1(a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Aggressive Growth Allocation Fund Investor Class Institutional Class Class A Class C Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forwar |
|
| August 29, 2011 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT EX-99.77Q1 OTHR EXHB 7 fwdq1e3.htm Exhibit 77 Q1(e)(3) FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of February 14, 2011, is by and among SW Asset Management, LLC (the “Sub-Advisor”), Forward Funds (the “Trust”), on behalf of the Forward International Fixed Income Fund, a series of the Trust (the “Fund”), and Forward Management, |
|
| August 29, 2011 |
Fund Exhibit 77 Q1(e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Aggressive Growth Allocation Fund 0. |
|
| August 29, 2011 |
FORWARD FUNDS Exhibit 77 Q1(e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Banking and Finance Fund 1. |
|
| August 29, 2011 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, incorporated by reference to Exhibit (a)(2) to Post-Effective Amendment No. |
|
| July 15, 2011 |
SEC Letter July 15, 2011 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 84 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end management |
|
| May 26, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, Suite 1600 San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. Alan Reid, |
|
| May 26, 2011 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| April 21, 2011 |
CORRESP 1 filename1.htm April 21, 2011 Mr. Chad Eskildsen Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant” or the “Funds”) File Nos. 033-48940; 811-06722 Post-Effective Amendment No. 82 Dear Mr. Eskildsen: Pursuant to your request, this letter responds to comments provided by the Staff of the U.S |
|
| March 1, 2011 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT EX-99.77Q1 OTHR EXHB 9 q1e4.htm Exhibit Q1(e)(4) FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of December 31, 2010, is by and among Broadmark Asset Management, LLC (the “Sub-Advisor”), Forward Funds (the “Trust”), on behalf of the Forward Tactical Enhanced Fund, a series of the Trust (the “Fund”), and Forward Management, LLC (the |
|
| March 1, 2011 |
77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; 77Q1(a) Copies of any material amendments to the registrant’s charter or by-laws; (a)(1) Revised Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, incorporated by reference to Exhibit (a)(2) to Post-Effective Amendment No. |
|
| March 1, 2011 |
FORWARD FUNDS AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENT Converted by EDGARwiz Exhibit Q1(e)(3) FORWARD FUNDS AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENT This AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of September 1, 2008 and amended and restated as of March 31, 2010, is by and among First Western Capital Management Inc. |
|
| March 1, 2011 |
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST Exhibit Q1(a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Aggressive Growth Allocation Fund Investor Class Institutional Class Class A Class C Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward B |
|
| March 1, 2011 |
EX-99.77Q1 OTHR EXHB 7 q1e2.htm Exhibit Q1(e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Aggressive Growth Allocation Fund 0.10% Forward Balanced Allocation Fund 0.10% Forward Frontier MarketStrat Fund 0.85% Forward Growth Allocation Fund 0.10% Forward Growth & Income Allocation Fund 0.10% Forward High Yield Bond Fund 0.36% Forward Large Cap Growth Fund 0.45% Forward |
|
| March 1, 2011 |
EX-99.77Q1 OTHR EXHB 6 q1e1.htm Exhibit Q1(e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Banking and Finance Fund 1.00% up to and including $100 million 0.90% over $100 million Forward Commodity Long/Short Strategy Fund 1.00% Forward Emerging Markets Fund 1.25% up to and including $500 million 1.20% over $500 million up to and including $1 billion 1.15% over $1 billi |
|
| March 1, 2011 |
EX-99.2D HOLDERS RTS 3 ex77d.htm Forward Funds Response to Item 77D SUB-ITEM 77D: Policies With Respect to Security Investments 1. Forward Frontier MarketStrat Fund Effective September 20, 2010, the Forward Frontier Markets Fund changed its name to the Forward Frontier MarketStrat Fund. In connection with this name change, the Fund’s “Principal Investment Strategies” were changed in order to elimi |
|
| March 1, 2011 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholdersof Forward Funds In planning and performing our audits of the financial statements of Forward Banking and Finance Fund, Forward Emerging Markets Fund, Forward Focus Fund (formerly known as Forward Legato Fund), Forward Growth Fund, Forward International Dividend Fund (formerly known as Forward Internat |
|
| February 28, 2011 |
SEC Letter February 28, 2011 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 81 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end manage |
|
| February 8, 2011 |
SEC Letter February 8, 2011 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 80 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end managem |
|
| January 19, 2011 |
January 19, 2011 Mr. Chad Eskildsen Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment Nos. 77 and 77 Dear Mr. Eskildsen: On November 19, 2010, the Registrant electronically transmitted via EDGAR Post-Effective Amendment No. 77 to its registr |
|
| January 12, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ¨ Preliminary Information Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-5(d)(2)) x Definitive Information Statement FORWARD FUNDS (Name of Registrant as Specified I |
|
| December 30, 2010 |
Letter to the SEC December 30, 2010 Mr. Chad Eskildsen Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment Nos. 78 and 78 Dear Mr. Eskildsen: On behalf of the Registrant, attached hereto is Post-Effective Amendment No. 78 (“PEA 78”) to the Reg |
|
| December 30, 2010 |
Letter to the SEC December 30, 2010 Mr. Chad Eskildsen Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549-1520 Re: Forward Funds (the “Registrant”) File Nos. 033-48940; 811-06722 Post-Effective Amendment Nos. 79 and 79 Dear Mr. Eskildsen: On behalf of the Registrant, attached hereto is Post-Effective Amendment No. 79 (“PEA 79”) to the Reg |
|
| November 23, 2010 |
CERTIFICATIONS EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of Forward Funds (the “registrant”); 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not mis |
|
| November 23, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 101 California Street, Suite 1600 San Francisco, CA 94111 (Address of principal executive offices) (Zip code) J. Alan Reid, |
|
| November 19, 2010 |
Letter to the SEC November 19, 2010 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Forward Funds (File Nos. 033-48940/811-06722) Post-Effective Amendment No. 77 Dear Sir or Madam: Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end manage |
|
| October 15, 2010 |
Letter to the SEC October 15, 2010 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 75 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end |
|
| October 15, 2010 |
Letter to the SEC October 15, 2010 U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington D.C. 20549 RE: Forward Funds File Nos. 033-48940/811-06722 Form N-1A Post Effective Amendment No. 76 Dear Sir or Madam, Electronically transmitted for filing via EDGAR is the registration statement relating to Forward Funds (the “Trust”), a registered open-end |
|
| September 20, 2010 |
200 Clarendon Street 27th Floor Boston, MA 02116-5021 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
|
| September 1, 2010 |
SEC Letter 200 Clarendon Street 27th Floor Boston, MA 02116-5021 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
|
| August 31, 2010 |
Converted by EDGARwiz Exhibit Q1(e)(1) EXHIBIT A TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Banking and Finance Fund 1. |
|
| August 31, 2010 |
FORWARD FUNDS AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENT Converted by EDGARwiz Exhibit Q1(e)(3) FORWARD FUNDS AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENT This AMENDED AND RESTATED INVESTMENT SUB-ADVISORY AGREEMENT (“Agreement”) effective as of September 1, 2008 and amended and restated as of March 31, 2010, is by and among First Western Capital Management Inc. |
|
| August 31, 2010 |
Exhibit Q1(a)(1) SCHEDULE A to Amended and Restated Agreement and Declaration of Trust of Forward Funds Schedule of Series and Classes Series Class of Shares Forward Aggressive Growth Allocation Fund Investor Class Institutional Class Class A Class C Forward Balanced Allocation Fund Investor Class Institutional Class Class A Class C Forward Banking and Finance Fund Advisor Class Investor Class Ins |
|
| August 31, 2010 |
77Q1(a) Copies of any material amendments to the registrant 77Q1(a) Copies of any material amendments to the registrant?s charter or by-laws; (a)(1) Revised Schedule A to the Amended and Restated Agreement and Declaration of Trust of the Registrant, incorporated by reference to Exhibit (a)(2) to Post-Effective Amendment No. |
|
| August 31, 2010 |
EX-99.77Q1 OTHR EXHB 5 q1e2.htm Exhibit Q1(e)(2) EXHIBIT B TO INVESTMENT MANAGEMENT AGREEMENT Fund Advisory Fee Forward Aggressive Growth Allocation Fund 0.10% Forward Balanced Allocation Fund 0.10% Forward Frontier Markets Fund 0.85% Forward Growth Allocation Fund 0.10% Forward Growth & Income Allocation Fund 0.10% Forward High Yield Bond Fund 0.36% Forward Large Cap Growth Fund 0.45% Forward Lar |
|
| May 27, 2010 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of the Forward Aggressive Growth Allocation Fund, Forward Balanced Allocation Fund, Forward Frontier Markets Fund, Forward Growth & Income Allocation Fund, Forward Growth Allocation Fund, Forward High Yield Bond Fund, Forward Income & Growth Allocation Fund, Forward Income Alloca |
|
| May 27, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 433 California Street, 11th Floor, San Francisco, CA 94104 (Address of principal executive offices) (Zip code) J. Alan Reid |
|
| May 27, 2010 |
N-Q 1 dnq.htm FORM N-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-06722 Forward Funds (Exact name of registrant as specified in charter) 433 California Street, 11th Floor, San Francisco, CA 94104 (Address of principal executive offices) |
|
| May 27, 2010 |
Certifications EX-99.CERT CERTIFICATIONS I, J. Alan Reid, Jr., certify that: 1. I have reviewed this report on Form N-Q of the Forward Banking and Finance Fund, Forward Emerging Markets Fund, Forward Global Infrastructure Fund, Forward Growth Fund, Forward International Dividend Fund, Forward International Fixed Income Fund, Forward International Real Estate Fund, Forward International Small Compa |
|
| March 1, 2010 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Forward Funds: In planning and performing our audits of the financial statements of Forward Emerging Markets Fund, Forward International Equity Fund, Forward International Small Companies Fund, Forward Large Cap Equity Fund, Forward Banking and Finance Fund, Forward Growth Fund, Forward Legato Fund |
|
| March 1, 2010 |
FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT Exhibit 77Q1(e)(6) FORWARD FUNDS INVESTMENT SUB-ADVISORY AGREEMENT This INVESTMENT SUB-ADVISORY AGREEMENT (?Agreement?) effective as of September 14, 2009, is by and among Broadmark Asset Management, LLC (the ?Sub-Advisor?), Forward Funds (the ?Trust?), on behalf of the Forward Tactical Growth Fund, a series of the Trust (the ?Fund?), and Forward Management, LLC (the ?Advisor?). |
|
| March 1, 2010 |
Converted by EDGARwiz 85TrailerAlignment~}Ía85TrailerDate~}æð85TrailerDateField~}æa85TrailerDraft~}¤ÍZ85TrailerLeading~}¡Í85TrailerLibrary~}æ85TrailerTime~}¢Í\85TrailerTrailing~}¤Í85TrailerType~}Íbbc85TrailerVerNum~}æb85TrailerVersion~}æbDocStamp2DocID~}æüûu%DocStamp2IncludeDate~} Ítœ¤’DocStamp2IncludeDraftText~}ætœ¤’DocStamp2IncludeTime~}ætœ¤’DocStamp2InsertDateAsField~}ætœ¤’DocStamp2TypeID~}æbbDOCX971nkw502!. |
