0000950123-12-014166.txt : 20121228
0000950123-12-014166.hdr.sgml : 20121228
20121228091447
ACCESSION NUMBER: 0000950123-12-014166
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 7
CONFORMED PERIOD OF REPORT: 20121031
FILED AS OF DATE: 20121228
DATE AS OF CHANGE: 20121228
EFFECTIVENESS DATE: 20121228
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
CENTRAL INDEX KEY: 0000105377
IRS NUMBER: 132576643
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-01424
FILM NUMBER: 121288955
BUSINESS ADDRESS:
STREET 1: 11 GREENWAY PLZ
STREET 2: STE 100
CITY: HOUSTON
STATE: TX
ZIP: 77046
BUSINESS PHONE: 7136261919
MAIL ADDRESS:
STREET 1: 11 GREENWAY PLAZA
STREET 2: SUITE 2500
CITY: HOUSTON
STATE: TX
ZIP: 77046
FORMER COMPANY:
FORMER CONFORMED NAME: AIM EQUITY FUNDS
DATE OF NAME CHANGE: 20000713
FORMER COMPANY:
FORMER CONFORMED NAME: AIM EQUITY FUNDS INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: WEINGARTEN EQUITY FUND INC
DATE OF NAME CHANGE: 19880929
0000105377
S000000276
INVESCO Capital Development Fund
C000000673
Class A
ACDAX
C000000674
Class B
ACDBX
C000000675
Class C
ACDCX
C000000676
Class R
ACDRX
C000021942
Institutional Class
ACDVX
C000029593
Investor Class
ACDIX
C000069440
Class Y
ACDYX
0000105377
S000000277
Invesco Charter Fund
C000000677
Class A
CHTRX
C000000678
Class B
BCHTX
C000000679
Class C
CHTCX
C000000680
Class R
CHRRX
C000021943
CLASS R5
CHTVX
C000069441
Class Y
CHTYX
C000081511
CLASS S
CHRSX
C000120713
Class R6
0000105377
S000000278
Invesco Constellation Fund
C000000681
Class A
CSTGX
C000000682
Class B
CSTBX
C000000683
Class C
CSTCX
C000000684
Class R
CSTRX
C000021944
CLASS R5
CSITX
C000069442
Class Y
CSTYX
0000105377
S000000281
Invesco Diversified Dividend Fund
C000000691
Class A
LCEAX
C000000692
Class B
LCEDX
C000000693
Class C
LCEVX
C000021945
CLASS R5
DDFIX
C000029594
Class R
DDFRX
C000029595
Investor Class
LCEIX
C000069443
Class Y
LCEYX
C000120714
Class R6
0000105377
S000022173
INVESCO SUMMIT FUND
C000063683
CLASS A
ASMMX
C000063684
CLASS B
BSMMX
C000063685
CLASS C
CSMMX
C000063686
CLASS P
SMMIX
C000069444
Class Y
ASMYX
C000069445
CLASS R5
SMITX
C000081512
CLASS S
SMMSX
0000105377
S000025554
INVESCO DISCIPLINED EQUITY FUND
C000076530
CLASS Y
AWEIX
NSAR-B
1
456838answer.fil
ANNUAL REPORT
PAGE 1
000 B000000 10/31/2012
000 C000000 0000105377
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
001 B000000 811-1424
001 C000000 7136261919
002 A000000 11 GREENWAY PLAZA, SUITE 100
002 B000000 HOUSTON
002 C000000 TX
002 D010000 77046
002 D020000 1173
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 Y
007 B000000 5
007 C010200 2
007 C020200 Invesco Constellation Fund
007 C030200 N
007 C010300 3
007 C020300 Invesco Charter Fund
007 C030300 N
007 C011100 11
007 C021100 Invesco Capital Development Fund
007 C031100 Y
007 C011800 18
007 C021800 Invesco Diversified Dividend Fund
007 C031800 N
007 C011900 19
007 C021900 Invesco Summit Fund
007 C031900 N
007 C012000 20
007 C022000 Invesco Disciplined Equity Fund
007 C032000 N
008 A00AA01 Invesco Advisers, Inc.
008 B00AA01 A
008 C00AA01 801-33949
008 D01AA01 HOUSTON
008 D02AA01 TX
008 D03AA01 77046
008 D04AA01 1173
008 A00AA02 Invesco Asset Management Deutschland GmbH
008 B00AA02 S
008 C00AA02 801-67712
PAGE 2
008 D01AA02 Frankfurt
008 D05AA02 Germany
008 D06AA02 60313
008 A00AA03 Invesco Asset Management Limited
008 B00AA03 S
008 C00AA03 801-50197
008 D01AA03 London
008 D05AA03 United Kingdom
008 D06AA03 EC2A1AG
008 A00AA04 Invesco Asset Management (Japan) Ltd.
008 B00AA04 S
008 C00AA04 801-52601
008 D01AA04 Tokyo
008 D05AA04 Japan
008 D06AA04 105-6025
008 A00AA05 Invesco Australia Limited
008 B00AA05 S
008 C00AA05 801-68638
008 D01AA05 Melbourne
008 D05AA05 Australia
008 D06AA05 3000
008 A00AA06 Invesco Hong Kong Limited
008 B00AA06 S
008 C00AA06 801-47856
008 D01AA06 HONG KONG
008 D05AA06 HONG KONG
008 A00AA07 Invesco Senior Secured Management, Inc.
008 B00AA07 S
008 C00AA07 801-38119
008 D01AA07 NEW YORK
008 D02AA07 NY
008 D03AA07 10036
008 D04AA07 2727
008 A00AA08 Invesco Canada Ltd.
008 B00AA08 S
008 C00AA08 801-62166
008 D01AA08 TORONTO
008 D05AA08 CANADA
008 D06AA08 M2N 6X7
011 A00AA01 Invesco Distributors, Inc.
011 B00AA01 8-21323
011 C01AA01 HOUSTON
011 C02AA01 TX
011 C03AA01 77046
011 C04AA01 1173
012 A00AA01 Invesco Investment Services, Inc.
012 B00AA01 84-5432
012 C01AA01 HOUSTON
012 C02AA01 TX
012 C03AA01 77210
012 C04AA01 4739
PAGE 3
013 A00AA01 PRICEWATERHOUSECOOPERS LLP
013 B01AA01 HOUSTON
013 B02AA01 TX
013 B03AA01 77002
013 B04AA01 5678
014 A00AA01 INVESCO CAPITAL MARKETS INC
014 B00AA01 8-19412
015 A00AA01 STATE STREET BANK & TRUST CO.
015 B00AA01 C
015 C01AA01 BOSTON
015 C02AA01 MA
015 C03AA01 02110
015 C04AA01 2801
015 E01AA01 X
015 A00AA02 THE BANK OF NEW YORK
015 B00AA02 S
015 C01AA02 BROOKLYN
015 C02AA02 NY
015 C03AA02 11217
015 C04AA02 1431
015 E01AA02 X
018 00AA00 Y
019 A00AA00 Y
019 B00AA00 136
019 C00AA00 INVESCOFDS
020 A000001 J.P. MORGAN SECURITIES INC.
020 B000001 13-3299429
020 C000001 763
020 A000002 CITIGROUP GLOBAL MARKETS INC.
020 B000002 11-2418191
020 C000002 708
020 A000003 BNY CONVERGEX EXECUTION SOLUTIONS LLC
020 B000003 13-3989198
020 C000003 641
020 A000004 SANFORD C. BERNSTEIN & CO., LLC
020 B000004 13-4132953
020 C000004 618
020 A000005 UBS SECURITIES LLC
020 B000005 13-3873456
020 C000005 594
020 A000006 CREDIT SUISSE SECURITIES (USA) LLC
020 B000006 05-0546650
020 C000006 557
020 A000007 BANC OF AMERICA SECURITIES LLC
020 B000007 56-2058405
020 C000007 503
020 A000008 BARCLAYS CAPITAL INC.
020 B000008 06-1031656
020 C000008 452
020 A000009 GOLDMAN, SACHS & CO.
020 B000009 13-5108880
PAGE 4
020 C000009 445
020 A000010 MORGAN STANLEY & CO., INC.
020 B000010 13-2655998
020 C000010 432
021 000000 11958
022 A000001 MORGAN STANLEY & CO., INC.
022 B000001 13-2655998
022 C000001 27058
022 D000001 0
022 A000002 CREDIT SUISSE SECURITIES (USA) LLC
022 B000002 05-0546650
022 C000002 22045
022 D000002 0
022 A000003 BANC OF AMERICA SECURITIES LLC
022 B000003 56-2058405
022 C000003 21312
022 D000003 0
022 A000004 CITIGROUP GLOBAL MARKETS INC.
022 B000004 11-2418191
022 C000004 21059
022 D000004 0
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022 B000005 06-1031656
022 C000005 2792
022 D000005 0
022 A000006 J.P. MORGAN SECURITIES INC.
022 B000006 13-3299429
022 C000006 2412
022 D000006 0
022 A000007 GOLDMAN, SACHS & CO.
022 B000007 13-5108880
022 C000007 1728
022 D000007 0
022 A000008 PIPER JAFFRAY & CO.
022 B000008 41-0953246
022 C000008 2
022 D000008 0
023 C000000 98408
023 D000000 0
024 000200 Y
024 000300 N
024 001100 N
024 001800 N
024 001900 Y
024 002000 N
025 A000201 GOLDMAN, SACHS & CO.
025 B000201 13-5108880
025 C000201 E
025 D000201 69130
025 A001901 GOLDMAN, SACHS & CO.
025 B001901 13-5108880
PAGE 5
025 C001901 E
025 D001901 13152
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026 B000000 Y
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PAGE 6
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PAGE 7
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PAGE 8
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029 000200 Y
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PAGE 9
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PAGE 10
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PAGE 11
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PAGE 12
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PAGE 13
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PAGE 14
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PAGE 15
050 001100 N
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PAGE 16
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PAGE 17
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PAGE 18
062 O001100 0.0
062 P001100 0.0
062 Q001100 0.0
062 R001100 0.0
062 A001800 N
062 B001800 0.0
062 C001800 0.0
062 D001800 0.0
062 E001800 0.0
062 F001800 0.0
062 G001800 0.0
062 H001800 0.0
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062 J001800 0.0
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062 M001800 0.0
062 N001800 0.0
062 O001800 0.0
062 P001800 0.0
062 Q001800 0.0
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062 A001900 N
062 B001900 0.0
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062 E001900 0.0
062 F001900 0.0
062 G001900 0.0
062 H001900 0.0
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062 M001900 0.0
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062 B002000 0.0
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PAGE 19
062 L002000 0.0
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066 A000200 Y
066 B000200 N
066 C000200 Y
066 D000200 N
066 E000200 N
066 F000200 N
066 G000200 N
066 A000300 Y
066 B000300 N
066 C000300 N
066 D000300 Y
066 E000300 N
066 F000300 N
066 G000300 N
066 A001100 Y
066 B001100 N
066 C001100 Y
066 D001100 N
066 E001100 N
066 F001100 N
066 G001100 N
066 A001800 Y
066 B001800 N
066 C001800 N
066 D001800 N
066 E001800 Y
066 F001800 N
066 G001800 N
066 A001900 Y
066 B001900 N
066 C001900 Y
066 D001900 N
PAGE 20
066 E001900 N
066 F001900 N
066 G001900 N
066 A002000 Y
066 B002000 N
066 C002000 N
066 D002000 Y
066 E002000 N
066 F002000 N
066 G002000 N
067 000200 N
067 000300 N
067 001100 N
067 001800 N
067 001900 N
067 002000 N
068 A000200 N
068 B000200 N
068 A000300 N
068 B000300 N
068 A001100 N
068 B001100 N
068 A001800 N
068 B001800 N
068 A001900 N
068 B001900 N
068 A002000 N
068 B002000 N
069 000200 N
069 000300 N
069 001100 N
069 001800 N
069 001900 N
069 002000 N
070 A010200 Y
070 A020200 N
070 B010200 Y
070 B020200 N
070 C010200 Y
070 C020200 N
070 D010200 Y
070 D020200 N
070 E010200 Y
070 E020200 N
070 F010200 Y
070 F020200 N
070 G010200 Y
070 G020200 N
070 H010200 Y
070 H020200 N
070 I010200 N
PAGE 21
070 I020200 N
070 J010200 Y
070 J020200 Y
070 K010200 Y
070 K020200 Y
070 L010200 Y
070 L020200 Y
070 M010200 Y
070 M020200 Y
070 N010200 Y
070 N020200 N
070 O010200 Y
070 O020200 N
070 P010200 Y
070 P020200 Y
070 Q010200 N
070 Q020200 N
070 R010200 Y
070 R020200 N
070 A010300 Y
070 A020300 N
070 B010300 Y
070 B020300 N
070 C010300 Y
070 C020300 N
070 D010300 Y
070 D020300 N
070 E010300 Y
070 E020300 N
070 F010300 Y
070 F020300 N
070 G010300 Y
070 G020300 N
070 H010300 Y
070 H020300 N
070 I010300 N
070 I020300 N
070 J010300 Y
070 J020300 N
070 K010300 Y
070 K020300 Y
070 L010300 Y
070 L020300 Y
070 M010300 Y
070 M020300 Y
070 N010300 Y
070 N020300 N
070 O010300 Y
070 O020300 N
070 P010300 Y
070 P020300 Y
PAGE 22
070 Q010300 N
070 Q020300 N
070 R010300 Y
070 R020300 N
070 A011100 Y
070 A021100 N
070 B011100 Y
070 B021100 N
070 C011100 Y
070 C021100 N
070 D011100 Y
070 D021100 N
070 E011100 Y
070 E021100 N
070 F011100 Y
070 F021100 N
070 G011100 Y
070 G021100 N
070 H011100 Y
070 H021100 N
070 I011100 N
070 I021100 N
070 J011100 Y
070 J021100 Y
070 K011100 Y
070 K021100 Y
070 L011100 Y
070 L021100 Y
070 M011100 Y
070 M021100 N
070 N011100 Y
070 N021100 Y
070 O011100 Y
070 O021100 N
070 P011100 Y
070 P021100 Y
070 Q011100 N
070 Q021100 N
070 R011100 Y
070 R021100 N
070 A011800 Y
070 A021800 N
070 B011800 Y
070 B021800 N
070 C011800 Y
070 C021800 N
070 D011800 Y
070 D021800 N
070 E011800 Y
070 E021800 N
070 F011800 Y
PAGE 23
070 F021800 N
070 G011800 Y
070 G021800 N
070 H011800 Y
070 H021800 N
070 I011800 N
070 I021800 N
070 J011800 Y
070 J021800 N
070 K011800 Y
070 K021800 Y
070 L011800 Y
070 L021800 Y
070 M011800 Y
070 M021800 Y
070 N011800 Y
070 N021800 N
070 O011800 Y
070 O021800 N
070 P011800 Y
070 P021800 Y
070 Q011800 N
070 Q021800 N
070 R011800 Y
070 R021800 N
070 A011900 Y
070 A021900 N
070 B011900 Y
070 B021900 N
070 C011900 Y
070 C021900 N
070 D011900 Y
070 D021900 N
070 E011900 Y
070 E021900 N
070 F011900 Y
070 F021900 N
070 G011900 Y
070 G021900 N
070 H011900 Y
070 H021900 N
070 I011900 N
070 I021900 N
070 J011900 Y
070 J021900 Y
070 K011900 Y
070 K021900 Y
070 L011900 Y
070 L021900 Y
070 M011900 Y
070 M021900 Y
PAGE 24
070 N011900 Y
070 N021900 Y
070 O011900 Y
070 O021900 N
070 P011900 Y
070 P021900 Y
070 Q011900 N
070 Q021900 N
070 R011900 Y
070 R021900 N
070 A012000 Y
070 A022000 N
070 B012000 Y
070 B022000 N
070 C012000 Y
070 C022000 N
070 D012000 Y
070 D022000 N
070 E012000 Y
070 E022000 N
070 F012000 Y
070 F022000 N
070 G012000 Y
070 G022000 N
070 H012000 Y
070 H022000 N
070 I012000 N
070 I022000 N
070 J012000 Y
070 J022000 N
070 K012000 Y
070 K022000 Y
070 L012000 Y
070 L022000 Y
070 M012000 Y
070 M022000 N
070 N012000 Y
070 N022000 N
070 O012000 Y
070 O022000 N
070 P012000 Y
070 P022000 N
070 Q012000 N
070 Q022000 N
070 R012000 Y
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PAGE 25
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PAGE 26
072EE000200 0
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PAGE 27
072 R001100 -1
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PAGE 28
072 C001900 18635
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PAGE 29
072 U002000 0
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PAGE 30
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PAGE 31
074 F001100 0
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PAGE 32
074 V021800 0.00
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PAGE 33
074 R012000 0
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077 A000000 Y
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PAGE 34
080 A00AA00 ICI Mutual Insurance Co.
080 C00AA00 55000
081 A00AA00 Y
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084 A00AA00 N
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085 B00AA00 N
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086 F020000 0
SIGNATURE KELLI GALLEGOS
TITLE ASSISTANT VP & ASSISTANT TREASURER
EX-99.77B ACCT LTTR
2
dex9977b.txt
EX-99.77B
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Board of Trustees and Shareholders of AIM Equity Funds (Invesco Equity
Funds):
In planning and performing our audits of the financial statements of Invesco
Charter Fund, Invesco Constellation Fund, Invesco Disciplined Equity Fund,
Invesco Summit Fund and Invesco Diversified Dividend Fund (hereafter referred
to as the "Funds"), as of and for the year ended October 31, 2012, in
accordance with the standards of the Public Company Accounting Oversight Board
(United States), we considered the Funds' internal control over financial
reporting, including controls over safeguarding securities, as a basis for
designing our auditing procedures for the purpose of expressing our opinion on
the financial statements and to comply with the requirements of Form N-SAR, but
not for the purpose of expressing an opinion on the effectiveness of the Funds'
internal control over financial reporting. Accordingly, we do not express an
opinion on the effectiveness of the Funds' internal control over financial
reporting.
Management of the Funds is responsible for establishing and maintaining
effective internal control over financial reporting. In fulfilling this
responsibility, estimates and judgments by management are required to assess
the expected benefits and related costs of controls. A fund's internal control
over financial reporting is a process designed to provide reasonable assurance
regarding the reliability of financial reporting and the preparation of
financial statements for external purposes in accordance with generally
accepted accounting principles. A fund's internal control over financial
reporting includes those policies and procedures that (1) pertain to the
maintenance of records that, in reasonable detail, accurately and fairly
reflect the transactions and dispositions of the assets of the fund; (2)
provide reasonable assurance that transactions are recorded as necessary to
permit preparation of financial statements in accordance with generally
accepted accounting principles, and that receipts and expenditures of the fund
are being made only in accordance with authorizations of management and
trustees of the fund; and (3) provide reasonable assurance regarding prevention
or timely detection of unauthorized acquisition, use or disposition of a fund's
assets that could have a material effect on the financial statements.
Because of its inherent limitations, internal control over financial reporting
may not prevent or detect misstatements. Also, projections of any evaluation of
effectiveness to future periods are subject to the risk that controls may
become inadequate because of changes in conditions, or that the degree of
compliance with the policies or procedures may deteriorate.
A deficiency in internal control over financial reporting exists when the
design or operation of a control does not allow management or employees, in the
normal course of performing their assigned functions, to prevent or detect
misstatements on a timely basis. A material weakness is a deficiency, or a
combination of deficiencies, in internal control over financial reporting, such
that there is a reasonable possibility that a material misstatement of the
Funds' annual or interim financial statements will not be prevented or detected
on a timely basis.
Our consideration of the Funds' internal control over financial reporting was
for the limited purpose described in the first paragraph and would not
necessarily disclose all deficiencies in internal control over financial
reporting that might be material weaknesses under standards established by the
Public Company Accounting Oversight Board (United States). However, we noted no
deficiencies in the Funds' internal control over financial reporting and its
operation, including controls over safeguarding securities, that we consider to
be material weaknesses as defined above as of October 31, 2012.
This report is intended solely for the information and use of management and
the Board of Trustees of AIM Equity Funds (Invesco Equity Funds) and the
Securities and Exchange Commission and is not intended to be and should not be
used by anyone other than these specified parties.
/s/ PricewaterhouseCoopers LLP
Houston, Texas
December 21, 2012
EX-99.77E LEGAL
3
dex77e.txt
EX-99.77E
Sub-Item 77E
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
LEGAL PROCEEDINGS
On August 30, 2005, the West Virginia Securities Commissioner (WVSC) issued a
Summary Order to Cease and Desist and Notice of Right to Hearing to AIM
Advisors, Inc. and AIM Distributors, Inc. (predecessors to Invesco Advisers,
Inc. and Invesco Distributors, Inc., respectively) (collectively, "Invesco")
(Order No. 05-1318). The WVSC alleged that Invesco entered into certain
arrangements permitting market timing and failed to disclose these arrangements
in violation of the West Virginia securities laws. The WVSC ordered Invesco to
cease any further violations and sought to impose monetary sanctions, including
restitution to affected investors, disgorgement of fees, reimbursement of
investigatory, administrative and legal costs and an "administrative
assessment" to be determined by the Commissioner. On October 27, 2011, a
hearing examiner was appointed to this matter. This matter continues to be
indefinitely suspended.
Management of Invesco and the Trust believe that the outcome of the proceedings
described above will not have a material adverse effect on the Trust or on the
ability of Invesco to provide ongoing services to the Trust.
EX-99.77I NEW SECUR
4
dex77i.txt
EX-99.77I
SUB-ITEM 77I
TERMS OF NEW OR AMENDED SECURITIES
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
INVESCO CHARTER FUND AND INVESCO DIVERSIFIED DIVIDEND FUND
On September 24, 2012, AIM Equity Funds (Invesco Equity Funds) (the "Trust")
commenced operations of Class R6 shares for the following funds:
Invesco Charter Fund and Invesco Diversified Dividend Fund (each a "Fund" and
collectively the "Funds") Class R6 shares are sold at net asset value, and are
not subject to an initial sales charge or to a CDSC. Shares of beneficial
interest of the Trust are redeemable at their net asset value at the option of
the shareholder or at the option of the Trust in certain circumstances, subject
in certain circumstances to a contingent deferred sales charge. Each class of
shares represents an interest in the same portfolio of investments. Differing
sales charges and expenses will result in differing net asset values and
dividends and distributions. Each share of a Fund generally has the same
voting, dividend, liquidation and other rights; however, each class of shares
of a Fund is subject to different sales loads, conversion features, exchange
privileges and class-specific expenses. Only shareholders of a specific class
may vote on matters relating to that class's distribution plan. Shareholders of
each Fund are entitled to one vote per share (with proportionate voting for
fractional shares), irrespective of the relative net asset value of the shares
of a Fund. However, on matters affecting an individual Fund or class of shares,
a separate vote of shareholders of that Fund or class is required. Shareholders
of a Fund or class are not entitled to vote on any matter which does not affect
that Fund or class but that requires a separate vote of another Fund or class.
When issued, shares of each Fund are fully paid and nonassessable, have no
preemptive or subscription rights, and are freely transferable. Class R6 shares
do not have conversion rights. Class R6 shares do not have cumulative voting
rights, which means that when shareholders elect trustees, holders of more than
50% of the shares voting for the election of trustees can elect all of the
trustees of the Trust, and the holders of fewer than 50% of the shares voting
for the election of trustees will not be able to elect any trustees. Upon any
liquidation of the Trust, shareholders of each class are entitled to share pro
rata in the net assets belonging to the applicable Fund allocable to such class
available for distribution after satisfaction of outstanding liabilities of the
Fund allocable to such class.
Under Delaware law, shareholders of a Delaware statutory trust shall be
entitled to the same limitation of personal liability extended to shareholders
of private for-profit corporations organized under Delaware law. There is a
remote possibility, however, that shareholders could, under certain
circumstances, be held liable for the obligations of the Trust to the extent
the courts of another state, which does not recognize such limited liability,
were to apply the laws of such state to a controversy involving such
obligations. The Trust Agreement disclaims shareholder liability for acts or
obligations of the Trust and requires that notice of such disclaimer be given
in each agreement, obligation or instrument entered into or executed by the
Trust or the trustees to all parties. The Trust Agreement provides for
indemnification out of the property of the Fund for all losses and expenses of
any shareholder of such Fund held liable on account of being or having been a
shareholder. Thus, the risk of a shareholder incurring financial loss due to
shareholder liability is limited to circumstances in which the Fund is unable
to meet its obligations and the complaining party is not held to be bound by
the disclaimer.
EX-99.77Q1 OTHR EXHB
5
dex77q1a-17.txt
EX-99.77Q1
Sub-Item 77Q1(a)
AMENDMENT NO. 17
TO THE AMENDED AND RESTATED
AGREEMENT AND DECLARATION OF TRUST OF
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
This Amendment No. 17 (the "Amendment") to the Amended and Restated
Agreement and Declaration of Trust of AIM Equity Funds (Invesco Equity Funds)
(the "Trust") amends, effective September 24, 2012, the Amended and Restated
Agreement and Declaration of Trust of the Trust dated as of September 14, 2005,
as amended (the "Agreement").
Under Section 9.7 of the Agreement, this Amendment may be executed by a
duly authorized officer of the Trust.
WHEREAS, the Trust desires to amend the Agreement to (i) add Class R6
Shares to select funds and (ii) change the name of Institutional Class Shares
to Class R5 Shares;
NOW, THEREFORE, the Agreement is hereby amended as follows:
1. Schedule A of the Agreement is hereby amended and restated to read in its
entirety as set forth on Exhibit 1 to this Amendment.
2. All references in the Agreement to "this Agreement" shall mean the
Agreement as amended by this Amendment.
3. Except as specifically amended by this Amendment, the Agreement is hereby
confirmed and remains in full force and effect.
IN WITNESS WHEREOF, the undersigned, a duly authorized officer of the Trust,
has executed this Amendment as of July 16, 2012.
By: /s/ John M. Zerr
---------------------------
Name: John M. Zerr
Title: Senior Vice President
EXHIBIT 1
"SCHEDULE A
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
PORTFOLIOS AND CLASSES THEREOF
PORTFOLIO CLASSES OF EACH PORTFOLIO
--------- -------------------------
Invesco Capital Development Fund Class A Shares
Class B Shares
Class C Shares
Class R Shares
Class R5 Shares
Class Y Shares
Investor Class Shares
Invesco Charter Fund Class A Shares
Class B Shares
Class C Shares
Class R Shares
Class R5 Shares
Class R6 Shares
Class S Shares
Class Y Shares
Invesco Constellation Fund Class A Shares
Class B Shares
Class C Shares
Class R Shares
Class R5 Shares
Class Y Shares
Invesco Disciplined Equity Fund Class Y Shares
Invesco Diversified Dividend Fund Class A Shares
Class B Shares
Class C Shares
Class R Shares
Class R5 Shares
Class R6 Shares
Class Y Shares
Investor Class Shares
Invesco Summit Fund Class A Shares
Class B Shares
Class C Shares
Class P Shares
Class R5 Shares
Class S Shares
Class Y Shares"
EX-99.77Q1 OTHR EXHB
6
dex77q1e-a.txt
EX-99.77Q1
Sub-Item 77Q1(e)
MEMORANDUM OF AGREEMENT
(ADVISORY FEE WAIVERS)
This Memorandum of Agreement is entered into as of the effective date on the
attached Exhibit A and B (each an "Exhibit" or, collectively the "Exhibits"),
between AIM Counselor Series Trust (Invesco Counselor Series Trust), AIM Equity
Funds (Invesco Equity Funds), AIM Funds Group (Invesco Funds Group), AIM Growth
Series (Invesco Growth Series), AIM International Mutual Funds (Invesco
International Mutual Funds), AIM Investment Funds (Invesco Investment Funds),
AIM Investment Securities Funds (Invesco Investment Securities Funds), AIM
Sector Funds (Invesco Sector Funds), AIM Tax-Exempt Funds (Invesco Tax-Exempt
Funds), AIM Treasurer's Series Trust (Invesco Treasurer's Series Trust), AIM
Variable Insurance Funds (Invesco Variable Insurance Funds), Invesco Municipal
Income Opportunities Trust, Invesco, Invesco Municipal Premium Income Trust,
Invesco Quality Municipal Income Trust, Invesco Quality Municipal Investment
Trust, Invesco Quality Municipal Securities, Invesco Value Municipal Bond
Trust, Invesco Value Municipal Income Trust, Invesco Value Municipal
Securities, Invesco Value Municipal Trust, and Short-Term Investments Trust
(each a "Trust" or, collectively, the "Trusts"), on behalf of the funds listed
on the Exhibits to this Memorandum of Agreement (the "Funds"), and Invesco
Advisers, Inc. ("Invesco"). Invesco shall and hereby agrees to waive fees of
the Funds, on behalf of their respective classes as applicable, severally and
not jointly, as indicated in the Exhibits.
For and in consideration of the mutual terms and agreements set forth herein
and other good and valuable consideration, the receipt and sufficiency of which
is hereby acknowledged, Invesco agrees that until at least the expiration date
set forth on Exhibit A (the "Expiration Date") and with respect to those Funds
listed on the Exhibit, Invesco will waive its advisory fees at the rate set
forth on the Exhibit.
For and in consideration of the mutual terms and agreements set forth herein
and other good and valuable consideration, the receipt and sufficiency of which
is hereby acknowledged, the Trusts and Invesco agree as follows:
1. Invesco agrees that until the expiration date, if any, of the commitment
set forth on the attached Exhibit B occurs, as such Exhibit B is amended
from time to time, Invesco will waive advisory fees payable by an
Investing Fund (defined below) in an amount equal to 100% of the net
advisory fee Invesco receives on the Uninvested Cash (defined below)
from the Affiliated Money Market Fund (defined below) in which the
Investing Fund invests (the "Waiver").
i. Invesco's Fund Accounting Group will calculate, and apply, the
Waiver monthly, based upon the average investment of Uninvested
Cash made by the Investing Fund during the previous month in an
Affiliated Money Market Fund.
ii. The Waiver will not apply to those Investing Funds that do not
charge an advisory fee, either due to the terms of their advisory
agreement, or as a result of contractual or voluntary fee waivers.
iii. The Waiver will not apply to cash collateral for securities
lending.a
For purposes of the paragraph above, the following terms shall have the
following meanings:
(a) "Affiliated Money Market Fund" - any existing or future Trust that
holds itself out as a money market fund and complies with Rule 2a-7
under the Investment Company Act of 1940, as amended;
(b) "Investing Fund" - any Fund investing Cash Balances and/or Cash
Collateral in an Affiliated Money Market Fund; and
(c) "Uninvested Cash" - cash available and uninvested by a Trust that
may result from a variety of sources, including dividends or
interest received on portfolio securities, unsettled securities
transactions, strategic reserves, matured investments, proceeds from
liquidation of investment securities, dividend payments, or new
investor capital.
2. Neither a Trust nor Invesco may remove or amend the Waiver to a Trust's
detriment prior to requesting and receiving the approval of the Board of
Trustee of the applicable Fund's Trust to remove or amend such Waiver.
Invesco will not have any right to reimbursement of any amount so waived.
The Boards of Trustees and Invesco may terminate or modify this Memorandum
of Agreement prior to the Expiration Date only by mutual written consent.
Invesco will not have any right to reimbursement of any amount so waived or
reimbursed.
Subject to the foregoing paragraphs, Invesco agrees to review the
then-current waivers for each class of the Funds listed on the Exhibits on a
date prior to the Expiration Date to determine whether such waivers should be
amended, continued or terminated. The waivers will expire upon the Expiration
Date unless the Trusts and Invesco have agreed to continue them. The Exhibits
will be amended to reflect any such agreement.
It is expressly agreed that the obligations of the Trusts hereunder shall
not be binding upon any of the Trustees, shareholders, nominees, officers,
agents or employees of the Trusts personally, but shall only bind the assets
and property of the Funds, as provided in each Trust's Agreement and
Declaration of Trust. The execution and delivery of this Memorandum of
Agreement have been authorized by the Trustees of each Trust, and this
Memorandum of Agreement has been executed and delivered by an authorized
officer of each Trust acting as such; neither such authorization by such
Trustees nor such execution and delivery by such officer shall be deemed to
have been made by any of them individually or to impose any liability on any of
them personally, but shall bind only the assets and property of the Funds, as
provided in each Trust's Agreement and Declaration of Trust.
IN WITNESS WHEREOF, each of the Trusts, on behalf of itself and its Funds
listed in Exhibit A and B to this Memorandum of Agreement, and Invesco have
entered into this Memorandum of Agreement as of the Effective Date on the
attached Exhibits.
AIM COUNSELOR SERIES TRUST (INVESCO COUNSELOR SERIES TRUST)
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
AIM FUNDS GROUP (INVESCO FUNDS GROUP)
AIM GROWTH SERIES (INVESCO GROWTH SERIES)
AIM INTERNATIONAL MUTUAL FUNDS (INVESCO INTERNATIONAL MUTUAL FUNDS)
AIM INVESTMENT FUNDS (INVESCO INVESTMENT FUNDS)
AIM INVESTMENT SECURITIES FUNDS (INVESCO INVESTMENT SECURITIES FUNDS)
AIM SECTOR FUNDS (INVESCO SECTOR FUNDS)
AIM TAX-EXEMPT FUNDS (INVESCO TAX-EXEMPT FUNDS)
AIM TREASURER'S SERIES TRUST (INVESCO TREASURER'S SERIES TRUST)
AIM VARIABLE INSURANCE FUNDS (INVESCO VARIABLE INSURANCE FUNDS)
INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST
INVESCO MUNICIPAL PREMIUM INCOME TRUST
INVESCO QUALITY MUNICIPAL INCOME TRUST
INVESCO QUALITY MUNICIPAL INVESTMENT TRUST
INVESCO QUALITY MUNICIPAL SECURITIES
INVESCO VALUE MUNICIPAL BOND TRUST
INVESCO VALUE MUNICIPAL INCOME TRUST
INVESCO VALUE MUNICIPAL SECURITIES
INVESCO VALUE MUNICIPAL TRUST
SHORT-TERM INVESTMENTS TRUST
on behalf of the Funds listed in the Exhibit
to this Memorandum of Agreement
By: /s/ John M. Zerr
---------------------------
Title: Senior Vice President
INVESCO ADVISERS, INC.
By: /s/ John M. Zerr
---------------------------
Title: Senior Vice President
EXHIBIT A TO ADVISORY FEE MOA
AIM EQUITY FUNDS
(INVESCO EQUITY EXPIRATION
FUNDS) WAIVER DESCRIPTION EFFECTIVE DATE DATE
------------------ ----------------------------------------------------- ------------------ ------------------
Invesco Invesco will waive advisory fees to 3/27/2006 12/31/2012
Constellation Fund the extent necessary so that advisory fees Invesco
receives do not exceed the annualized rates
listed below.
0.695% of the first $250M
0.615% of the next $4B
0.595% of the next $750M
0.57% of the next $2.5B
0.545% of the next $2.5B
0.52% of the excess over $10B
AIM TREASURER'S
SERIES TRUST
(INVESCO TREASURER'S EXPIRATION
SERIES TRUST) WAIVER DESCRIPTION EFFECTIVE DATE DATE
------------------ ----------------------------------------------------- ------------------ ------------------
Premier Portfolio Invesco will waive advisory fees in the amount 2/1/2011 12/31/2012
of 0.07% of the Fund's average daily net assets
Premier U.S. Invesco will waive advisory fees in the amount 2/1/2011 12/31/2012
Government Money of 0.07% of the Fund's average daily net assets
Portfolio
EXHIBIT "B"
AIM COUNSELOR SERIES TRUST (INVESCO COUNSELOR SERIES TRUST)
PORTFOLIO EFFECTIVE DATE COMMITTED UNTIL
--------- ----------------- ---------------
Invesco American Franchise Fund February 12, 2010 June 30, 2013
Invesco California Tax-Free Income Fund February 12, 2010 June 30, 2013
Invesco Core Plus Bond Fund June 2, 2009 June 30, 2013
Invesco Equally-Weighted S&P 500 Fund February 12, 2010 June 30, 2013
Invesco Equity and Income Fund February 12, 2010 June 30, 2013
Invesco Floating Rate Fund July 1, 2007 June 30, 2013
Invesco Global Real Estate Income Fund July 1, 2007 June 30, 2013
Invesco Growth and Income Fund February 12, 2010 June 30, 2013
Invesco Pennsylvania Tax Free Income Fund February 12, 2010 June 30, 2013
Invesco S&P 500 Index Fund February 12, 2010 June 30, 2013
Invesco Small Cap Growth Fund February 12, 2010 June 30, 2013
Invesco U.S. Quantitative Core Fund July 1, 2007 June 30, 2013
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
PORTFOLIO EFFECTIVE DATE COMMITTED UNTIL
--------- ----------------- ---------------
Invesco Charter Fund July 1, 2007 June 30, 2013
Invesco Constellation Fund July 1, 2007 June 30, 2013
Invesco Disciplined Equity Fund July 14, 2009 June 30, 2013
Invesco Diversified Dividend Fund July 1, 2007 June 30, 2013
Invesco Summit Fund July 1, 2007 June 30, 2013
AIM FUNDS GROUP (INVESCO FUNDS GROUP)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ----------------- ---------------
Invesco European Small Company Fund July 1, 2007 June 30, 2013
Invesco Global Core Equity Fund July 1, 2007 June 30, 2013
Invesco International Small Company Fund July 1, 2007 June 30, 2013
Invesco Small Cap Equity Fund July 1, 2007 June 30, 2013
AIM GROWTH SERIES (INVESCO GROWTH SERIES)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ----------------- ---------------
Invesco Convertible Securities Fund February 12, 2010 June 30, 2013
Invesco Global Quantitative Core Fund July 1, 2007 June 30, 2013
Invesco Leaders Fund February 12, 2010 June 30, 2013
Invesco Mid Cap Core Equity Fund July 1, 2007 June 30, 2013
Invesco Small Cap Growth Fund July 1, 2007 June 30, 2013
Invesco U.S. Mortgage Fund February 12, 2010 June 30, 2013
AIM INTERNATIONAL MUTUAL FUNDS (INVESCO INTERNATIONAL MUTUAL FUNDS)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ------------------ ---------------
Invesco Asia Pacific Growth Fund July 1, 2007 June 30, 2013
Invesco European Growth Fund July 1, 2007 June 30, 2013
Invesco Global Growth Fund July 1, 2007 June 30, 2013
Invesco Global Opportunities Fund August 1, 2012 June 30, 2013
Invesco Global Select Companies Fund August 1, 2012 June 30, 2013
Invesco Global Small & Mid Cap Growth Fund July 1, 2007 June 30, 2013
Invesco International Growth Fund July 1, 2007 June 30, 2013
Invesco International Core Equity Fund July 1, 2007 June 30, 2013
AIM INVESTMENT FUNDS (INVESCO INVESTMENT FUNDS)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ------------------ ---------------
Invesco Balanced-Risk Allocation Fund* May 29, 2009 June 30, 2013
Invesco Balanced-Risk Commodity Strategy Fund** November 29, 2010 June 30, 2013
Invesco China Fund July 1, 2007 June 30, 2013
Invesco Commodities Strategy Fund*** February 12, 2010 June 30, 2013
Invesco Developing Markets Fund July 1, 2007 June 30, 2013
Invesco Emerging Markets Equity Fund May 11, 2011 June 30, 2013
Invesco Emerging Market Local Currency Debt Fund June 14, 2010 June 30, 2013
Invesco Endeavor Fund July 1, 2007 June 30, 2013
Invesco Global Advantage Fund February 12, 2010 June 30, 2013
Invesco Global Health Care Fund July 1, 2007 June 30, 2013
Invesco Global Markets Strategy Fund September 25, 2012 June 30, 2013
Invesco International Total Return Fund July 1, 2007 June 30, 2013
Invesco Pacific Growth Fund February 12, 2010 June 30, 2013
Invesco Premium Income Fund December 13, 2011 June 30, 2013
Invesco Small Companies Fund July 1, 2007 June 30, 2013
AIM INVESTMENT SECURITIES FUNDS (INVESCO INVESTMENT SECURITIES FUNDS)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ------------------ ---------------
Invesco Corporate Bond Fund February 12, 2010 June 30, 2013
Invesco Dynamics Fund July 1, 2007 June 30, 2013
Invesco Global Real Estate Fund July 1, 2007 June 30, 2013
Invesco High Yield Fund July 1, 2007 June 30, 2013
Invesco High Yield Securities Fund February 12, 2010 June 30, 2013
Invesco Limited Maturity Treasury Fund July 1, 2007 June 30, 2013
Invesco Money Market Fund July 1, 2007 June 30, 2013
Invesco Municipal Bond Fund July 1, 2007 June 30, 2013
Invesco Real Estate Fund July 1, 2007 June 30, 2013
Invesco Short Term Bond Fund July 1, 2007 June 30, 2013
Invesco U.S. Government Fund July 1, 2007 June 30, 2013
-----------------
* Advisory fees to be waived by Invesco for Invesco Balanced-Risk Allocation
Fund also include advisory fees that Invesco receives on the Uninvested
Cash from the Affiliated Money Market Fund in which Invesco Cayman
Commodity Fund I, Ltd. invests.
** Advisory fees to be waived by Invesco for Invesco Balanced-Risk Commodity
Strategy Fund also include advisory fees that Invesco receives on the
Uninvested Cash from the Affiliated Money Market Fund in which Invesco
Cayman Commodity Fund III, Ltd. invests.
*** Advisory fees to be waived by Invesco for Invesco Commodities Strategy
Fund also include advisory fees that Invesco receives on the Uninvested
Cash from the Affiliated Money Market Fund in which Invesco Cayman
Commodity Fund II, Ltd. Invests.
Sub-Item 77Q1(e)
AIM SECTOR FUNDS (INVESCO SECTOR FUNDS)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ----------------- ---------------
Invesco American Value Fund February 12, 2010 June 30, 2013
Invesco Comstock Fund February 12, 2010 June 30, 2013
Invesco Energy Fund July 1, 2007 June 30, 2013
Invesco Gold & Precious Metals Fund July 1, 2007 June 30, 2013
Invesco Leisure Fund July 1, 2007 June 30, 2013
Invesco Mid Cap Growth Fund February 12, 2010 June 30, 2013
Invesco Small Cap Value Fund February 12, 2010 June 30, 2013
Invesco Technology Fund July 1, 2007 June 30, 2013
Invesco Technology Sector Fund February 12, 2010 June 30, 2013
Invesco Utilities Fund July 1, 2007 June 30, 2013
Invesco Value Fund February 12, 2010 June 30, 2013
Invesco Value Opportunities Fund February 12, 2010 June 30, 2013
AIM TAX-EXEMPT FUNDS (INVESCO TAX-EXEMPT FUNDS)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ----------------- ---------------
Invesco High Yield Municipal Fund February 12, 2010 June 30, 2013
Invesco Intermediate Term Municipal Income
Fund February 12, 2010 June 30, 2013
Invesco Municipal Income Fund February 12, 2010 June 30, 2013
Invesco New York Tax Free Income Fund February 12, 2010 June 30, 2013
Invesco Tax-Exempt Cash Fund July 1, 2007 June 30, 2013
Invesco Tax-Free Intermediate Fund July 1, 2007 June 30, 2013
AIM VARIABLE INSURANCE FUNDS (INVESCO VARIABLE INSURANCE FUNDS)
FUND EFFECTIVE DATE COMMITTED UNTIL
---- ----------------- ---------------
Invesco V.I. Balanced-Risk Allocation Fund**** December 22, 2010 June 30, 2013
Invesco V.I. Core Equity Fund July 1, 2007 June 30, 2013
Invesco V.I. Diversified Dividend Fund February 12, 2010 June 30, 2013
Invesco V.I. Diversified Income Fund July 1, 2007 June 30, 2013
Invesco V.I. Equally-Weighted S&P 500 Fund February 12, 2010 June 30, 2013
Invesco V.I. Global Core Equity Fund February 12, 2010 June 30, 2013
Invesco V.I. Global Health Care Fund July 1, 2007 June 30, 2013
Invesco V.I. Global Real Estate Fund July 1, 2007 June 30, 2013
Invesco V.I. Government Securities Fund July 1, 2007 June 30, 2013
Invesco V.I. High Yield Fund July 1, 2007 June 30, 2013
Invesco V.I. High Yield Securities Fund February 12, 2010 June 30, 2013
Invesco V.I. International Growth Fund July 1, 2007 June 30, 2013
Invesco V.I. Mid Cap Core Equity Fund July 1, 2007 June 30, 2013
Invesco V.I. Money Market Fund July 1, 2007 June 30, 2013
Invesco V.I. S&P 500 Index Fund February 12, 2010 June 30, 2013
Invesco V.I. Small Cap Equity Fund July 1, 2007 June 30, 2013
Invesco V.I. Technology Fund July 1, 2007 June 30, 2013
Invesco V.I. Utilities Fund July 1, 2007 June 30, 2013
Invesco Van Kampen V.I. American Franchise Fund February 12, 2010 June 30, 2013
Invesco Van Kampen V.I. American Value Fund February 12, 2010 June 30, 2013
Invesco Van Kampen V.I. Comstock Fund February 12, 2010 June 30, 2013
Invesco Van Kampen V.I. Equity and Income Fund February 12, 2010 June 30, 2013
Invesco Van Kampen V.I. Growth and Income Fund February 12, 2010 June 30, 2013
Invesco Van Kampen V.I. Mid Cap Growth Fund February 12, 2010 June 30, 2013
Invesco Van Kampen V.I. Value Opportunities Fund July 1, 2007 June 30, 2013
---------------------------
**** Advisory fees to be waived by Invesco for Invesco V.I. Balanced-Risk
Allocation Fund also include an amount equal to advisory fees that
Invesco receives from any money market fund or similarly pooled cash
equivalent investment vehicle advised by Invesco and/or Invesco's
affiliates in which Invesco Cayman Commodity Fund IV, Ltd. invests.
SHORT-TERM INVESTMENTS TRUST
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Government TaxAdvantage Portfolio July 1, 2007 June 30, 2013
STIC Prime Portfolio July 1, 2007 June 30, 2013
Treasury Portfolio July 1, 2007 June 30, 2013
CLOSED-END FUNDS
FUND EFFECTIVE DATE COMMITTED UNTIL
---- -------------- ---------------
Invesco Municipal Income Opportunities Trust June 1, 2010 June 30, 2013
Invesco Municipal Premium Income Trust June 1, 2010 June 30, 2013
Invesco Quality Municipal Income Trust June 1, 2010 June 30, 2013
Invesco Quality Municipal Investment Trust June 1, 2010 June 30, 2013
Invesco Quality Municipal Securities June 1, 2010 June 30, 2013
Invesco Value Municipal Bond Trust June 1, 2010 June 30, 2013
Invesco Value Municipal Income Trust June 1, 2010 June 30, 2013
Invesco Value Municipal Securities June 1, 2010 June 30, 2013
Invesco Value Municipal Trust June 1, 2010 June 30, 2013
SUB-ITEM 77Q1(E)
MEMORANDUM OF AGREEMENT
(EXPENSE LIMITATIONS)
This Memorandum of Agreement is entered into as of the Effective Date on the
attached exhibits (the "Exhibits"), between AIM Counselor Series Trust (Invesco
Counselor Series Trust), AIM Equity Funds (Invesco Equity Funds), AIM Funds
Group (Invesco Funds Group), AIM Growth Series (Invesco Growth Series), AIM
International Mutual Funds (Invesco International Mutual Funds), AIM Investment
Funds (Invesco Investment Funds), AIM Investment Securities Funds (Invesco
Investment Securities Funds), AIM Sector Funds (Invesco Sector Funds), AIM
Tax-Exempt Funds (Invesco Tax-Exempt Funds), AIM Variable Insurance Funds
(Invesco Variable Insurance Funds), Invesco Municipal Income Opportunities
Trust I and Short-Term Investments Trust (each a "Trust" or, collectively, the
"Trusts"), on behalf of the funds listed on the Exhibits to this Memorandum of
Agreement (the "Funds"), and Invesco Advisers, Inc. ("Invesco"). Invesco shall
and hereby agrees to waive fees or reimburse expenses of each Fund, on behalf
of its respective classes as applicable, severally and not jointly, as
indicated in the attached Exhibits.
For and in consideration of the mutual terms and agreements set forth herein
and other good and valuable consideration, the receipt and sufficiency of which
is hereby acknowledged, the Trusts and Invesco agree as follows:
For the Contractual Limits (listed in Exhibits A - D), Invesco agrees until
at least the expiration date set forth on the attached Exhibits A - D (the
"Expiration Date") that Invesco will waive its fees or reimburse expenses to
the extent that expenses of a class of a Fund (excluding (i) interest;
(ii) taxes; (iii) dividend expense on short sales; (iv) extraordinary or
non-routine items, including litigation expenses; and (v) expenses that each
Fund has incurred but did not actually pay because of an expense offset
arrangement, if applicable) exceed the rate, on an annualized basis, set forth
on the Exhibits of the average daily net assets allocable to such class.
Acquired fund fees and expenses are not fees or expenses incurred by a fund
directly but are expenses of the investment companies in which a fund invests.
These fees and expenses are incurred indirectly through the valuation of a
fund's investment in these investment companies. Acquired fund fees and
expenses are required to be disclosed and included in the total annual fund
operating expenses in the prospectus fee table. As a result, the net total
annual fund operating expenses shown in the prospectus fee table may exceed the
expense limits reflected in Exhibits A - D. With regard to the Contractual
Limits, the Board of Trustees of the Trust and Invesco may terminate or modify
this Memorandum of Agreement prior to the Expiration Date only by mutual
written consent. Invesco will not have any right to reimbursement of any amount
so waived or reimbursed.
For the Contractual Limits, Invesco agrees to review the then-current
expense limitations for each class of each Fund listed on the Exhibits on a
date prior to the Expiration Date to determine whether such limitations should
be amended, continued or terminated. The expense limitations will expire upon
the Expiration Date unless the Trusts and Invesco have agreed to continue them.
The Exhibits will be amended to reflect any such agreement.
For the Voluntary Limits (listed in Exhibits A - D), Invesco agrees that
these are not contractual in nature and that Invesco may establish, amend
and/or terminate such expense limitations at any time in its sole discretion
after consultation with the Funds' Boards of Trustees. Any delay or failure by
Invesco to update this Memorandum of Agreement with regards to the
terminations, extensions, or expirations of the Voluntary Limits shall have no
effect on the term of such Voluntary Limitations; the Voluntary Limitations are
listed herein for informational purposes only.
It is expressly agreed that the obligations of each Trust hereunder shall
not be binding upon any of the Trustees, shareholders, nominees, officers,
agents or employees of the Trusts personally, but shall only bind the assets
and property of each Fund, as provided in each Trust's Agreement and
Declaration of Trust. The execution and delivery of this Memorandum of
Agreement have been authorized by the Trustees of the Trusts, and this
Memorandum of Agreement has been executed and delivered by an authorized
officer of the Trusts acting as such; neither such authorization by such
Trustees nor such execution and delivery by such officer shall be deemed to
have been made by any of them individually or to impose any liability on any of
them personally, but shall bind only the assets and property of the Funds, as
provided in each Trust's Agreement and Declaration of Trust.
IN WITNESS WHEREOF, each of the Trusts and Invesco have entered into this
Memorandum of Agreement as of the Effective Dates on the attached Exhibits.
AIM COUNSELOR SERIES TRUST (INVESCO COUNSELOR SERIES TRUST)
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
AIM FUNDS GROUP (INVESCO FUNDS GROUP)
AIM GROWTH SERIES (INVESCO GROWTH SERIES)
AIM INTERNATIONAL MUTUAL FUNDS (INVESCO INTERNATIONAL MUTUAL FUNDS)
AIM INVESTMENT FUNDS (INVESCO INVESTMENT FUNDS)
AIM INVESTMENT SECURITIES FUNDS (INVESCO INVESTMENT SECURITIES FUNDS)
AIM SECTOR FUNDS (INVESCO SECTOR FUNDS)
AIM TAX-EXEMPT FUNDS (INVESCO TAX-EXEMPT FUNDS)
AIM VARIABLE INSURANCE FUNDS (INVESCO VARIABLE INSURANCE FUNDS)
INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST I
SHORT-TERM INVESTMENTS TRUST
on behalf of the Funds listed in the Exhibits
to this Memorandum of Agreement
By: /s/ John M. Zerr
---------------------------
Title: Senior Vice President
---------------------------
INVESCO ADVISERS, INC.
By: /s/ John M. Zerr
---------------------------
Title: Senior Vice President
---------------------------
2
as of September 25, 2012
EXHIBIT "A" - RETAIL FUNDS/1/
AIM COUNSELOR SERIES TRUST (INVESCO COUNSELOR SERIES TRUST)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -------------
Invesco American Franchise Fund
Class A Shares Contractual 1.05% May 23, 2011 June 30, 2013
Class B Shares Contractual 1.22%/2/ May 23, 2011 June 30, 2013
Class C Shares Contractual 1.80% May 23, 2011 June 30, 2013
Class R Shares Contractual 1.30% May 23, 2011 June 30, 2013
Class R5 Shares Contractual 0.80% May 23, 2011 June 30, 2013
Class Y Shares Contractual 0.80% May 23, 2011 June 30, 2013
Invesco California Tax-Free Income Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco Core Plus Bond Fund
Class A Shares Contractual 0.75% June 6, 2011 June 30, 2013
Class B Shares Contractual 1.50% June 6, 2011 June 30, 2013
Class C Shares Contractual 1.50% June 6, 2011 June 30, 2013
Class R Shares Contractual 1.00% June 6, 2011 June 30, 2013
Class R5 Shares Contractual 0.50% June 6, 2011 June 30, 2013
Class Y Shares Contractual 0.50% June 6, 2011 June 30, 2013
Invesco Equally-Weighted S&P 500 Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco Equity and Income Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco Floating Rate Fund
Class A Shares Contractual 1.50% April 14, 2006 June 30, 2013
Class C Shares Contractual 2.00% April 14, 2006 June 30, 2013
Class R Shares Contractual 1.75% April 14, 2006 June 30, 2013
Class R5 Shares Contractual 1.25% April 14, 2006 June 30, 2013
Class Y Shares Contractual 1.25% October 3, 2008 June 30, 2013
Invesco Global Real Estate Income Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Invesco Growth and Income Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
See page 14 for footnotes to Exhibit A.
3
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ -------------
Invesco Pennsylvania Tax Free
Income Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco S&P 500 Index Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco Small Cap Growth Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco U.S. Quantitative Core Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2012 June 30, 2013
AIM EQUITY FUNDS (INVESCO EQUITY FUNDS)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ -------------
Invesco Charter Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class S Shares Contractual 1.90% September 25, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Invesco Constellation Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Invesco Disciplined Equity Fund
Class Y Shares Contractual 1.75% July 14, 2009 June 30, 2013
Invesco Diversified Dividend Fund
Class A Shares Contractual 0.95% July 18, 2011 June 30, 2013
Class B Shares Contractual 1.70% July 18, 2011 June 30, 2013
Class C Shares Contractual 1.70% July 18, 2011 June 30, 2013
Class R Shares Contractual 1.20% July 18, 2011 June 30, 2013
Class R5 Shares Contractual 0.70% July 18, 2011 June 30, 2013
Class Y Shares Contractual 0.70% July 18, 2011 June 30, 2013
Investor Class Shares Contractual 0.95% July 18, 2011 June 30, 2013
See page 14 for footnotes to Exhibit A.
4
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ --------------
Invesco Summit Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class P Shares Contractual 1.85% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class S Shares Contractual 1.90% September 25, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
AIM FUNDS GROUP (INVESCO FUNDS GROUP)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ --------------
Invesco European Small Company Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Global Core Equity Fund
Class A Shares Contractual 1.25% May 23, 2011 June 30, 2013
Class B Shares Contractual 1.52%/2/ May 23, 2011 June 30, 2013
Class C Shares Contractual 2.00% May 23, 2011 June 30, 2013
Class R Shares Contractual 1.50% May 23, 2011 June 30, 2013
Class R5 Shares Contractual 1.00% May 23, 2011 June 30, 2013
Class Y Shares Contractual 1.00% May 23, 2011 June 30, 2013
Invesco International Small Company Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Small Cap Equity Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
AIM GROWTH SERIES (INVESCO GROWTH SERIES)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ --------------
Invesco Balanced-Risk Retirement 2020 Fund
Class A Shares Contractual 0.25% November 4, 2009 April 30, 2013
Class AX Shares Contractual 0.25% February 12, 2010 April 30, 2013
Class B Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class C Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class CX Shares Contractual 1.00% February 12, 2010 April 30, 2013
Class R Shares Contractual 0.50% November 4, 2009 April 30, 2013
Class R5 Shares Contractual 0.00% November 4, 2009 April 30, 2013
Class RX Shares Contractual 0.50% February 12, 2010 April 30, 2013
Class Y Shares Contractual 0.00% November 4, 2009 April 30, 2013
See page 14 for footnotes to Exhibit A.
5
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- --------------
Invesco Balanced-Risk Retirement 2030 Fund
Class A Shares Contractual 0.25% November 4, 2009 April 30, 2013
Class AX Shares Contractual 0.25% February 12, 2010 April 30, 2013
Class B Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class C Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class CX Shares Contractual 1.00% February 12, 2010 April 30, 2013
Class R Shares Contractual 0.50% November 4, 2009 April 30, 2013
Class R5 Shares Contractual 0.00% November 4, 2009 April 30, 2013
Class RX Shares Contractual 0.50% February 12, 2010 April 30, 2013
Class Y Shares Contractual 0.00% November 4, 2009 April 30, 2013
Invesco Balanced-Risk Retirement 2040 Fund
Class A Shares Contractual 0.25% November 4, 2009 April 30, 2013
Class AX Shares Contractual 0.25% February 12, 2010 April 30, 2013
Class B Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class C Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class CX Shares Contractual 1.00% February 12, 2010 April 30, 2013
Class R Shares Contractual 0.50% November 4, 2009 April 30, 2013
Class R5 Shares Contractual 0.00% November 4, 2009 April 30, 2013
Class RX Shares Contractual 0.50% February 12, 2010 April 30, 2013
Class Y Shares Contractual 0.00% November 4, 2009 April 30, 2013
Invesco Balanced-Risk Retirement 2050 Fund
Class A Shares Contractual 0.25% November 4, 2009 April 30, 2013
Class AX Shares Contractual 0.25% February 12, 2010 April 30, 2013
Class B Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class C Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class CX Shares Contractual 1.00% February 12, 2010 April 30, 2013
Class R Shares Contractual 0.50% November 4, 2009 April 30, 2013
Class R5 Shares Contractual 0.00% November 4, 2009 April 30, 2013
Class RX Shares Contractual 0.50% February 12, 2010 April 30, 2013
Class Y Shares Contractual 0.00% November 4, 2009 April 30, 2013
Invesco Balanced-Risk Retirement Now Fund
Class A Shares Contractual 0.25% November 4, 2009 April 30, 2013
Class AX Shares Contractual 0.25% February 12, 2010 April 30, 2013
Class B Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class C Shares Contractual 1.00% November 4, 2009 April 30, 2013
Class CX Shares Contractual 1.00% February 12, 2010 April 30, 2013
Class R Shares Contractual 0.50% November 4, 2009 April 30, 2013
Class R5 Shares Contractual 0.00% November 4, 2009 April 30, 2013
Class RX Shares Contractual 0.50% February 12, 2010 April 30, 2013
Class Y Shares Contractual 0.00% November 4, 2009 April 30, 2013
Invesco Conservative Allocation Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class S Shares Contractual 1.40% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco Convertible Securities Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
See page 14 for footnotes to Exhibit A.
6
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- --------------
Invesco Global Quantitative Core Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.50% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Growth Allocation Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class S Shares Contractual 1.90% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco Income Allocation Fund
Class A Shares Contractual 0.25% May 1, 2012 April 30, 2013
Class B Shares Contractual 1.00% May 1, 2012 April 30, 2013
Class C Shares Contractual 1.00% May 1, 2012 April 30, 2013
Class R Shares Contractual 0.50% May 1, 2012 April 30, 2013
Class R5 Shares Contractual 0.00% May 1, 2012 April 30, 2013
Class Y Shares Contractual 0.00% May 1, 2012 April 30, 2013
Invesco International Allocation Fund
Class A Shares Contractual 2.25% May 1, 2012 June 30, 2013
Class B Shares Contractual 3.00% May 1, 2012 June 30, 2013
Class C Shares Contractual 3.00% May 1, 2012 June 30, 2013
Class R Shares Contractual 2.50% May 1, 2012 June 30, 2013
Class R5 Shares Contractual 2.00% May 1, 2012 June 30, 2013
Class Y Shares Contractual 2.00% May 1, 2012 June 30, 2013
Invesco Leaders Fund
Class A Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2012 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2012 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2012 June 30, 2013
Invesco Mid Cap Core Equity Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Invesco Moderate Allocation Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class S Shares Contractual 1.40% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco Small Cap Growth Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2009 June 30, 2013
See page 14 for footnotes to Exhibit A.
7
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -----------------
Invesco U.S. Mortgage Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
AIM INTERNATIONAL MUTUAL FUNDS (INVESCO INTERNATIONAL MUTUAL FUNDS)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -----------------
Invesco Asia Pacific Growth Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco European Growth Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30. 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.50% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Investor Class Shares Contractual 2.25% July 1, 2009 June 30, 2013
Invesco Global Growth Fund
Class A Shares Contractual 1.32% December 19, 2011 December 31, 2012
Class B Shares Contractual 2.07% December 19, 2011 December 31, 2012
Class C Shares Contractual 2.07% December 19, 2011 December 31, 2012
Class R5 Shares Contractual 1.07% December 19, 2011 December 31, 2012
Class Y Shares Contractual 1.07% December 19, 2011 December 31, 2012
Invesco Global Opportunities Fund
Class A Shares Contractual 1.36% August 1, 2012 July 31, 2013
Class C Shares Contractual 2.11% August 1, 2012 July 31, 2013
Class R Shares Contractual 1.61% August 1, 2012 July 31, 2013
Class R5 Shares Contractual 1.11% August 1, 2012 July 31, 2013
Class Y Shares Contractual 1.11% August 1, 2012 July 31, 2013
Invesco Select Opportunities Fund
Class A Shares Contractual 1.51% August 1, 2012 July 31, 2013
Class C Shares Contractual 2.26% August 1, 2012 July 31, 2013
Class R Shares Contractual 1.76% August 1, 2012 July 31, 2013
Class R5 Shares Contractual 1.26% August 1, 2012 July 31, 2013
Class Y Shares Contractual 1.26% August 1, 2012 July 31, 2013
Invesco Global Small & Mid Cap Growth Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30. 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco International Core Equity Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30. 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.50% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Investor Class Shares Contractual 2.25% July 1, 2009 June 30, 2013
See page 14 for footnotes to Exhibit A.
8
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -----------------
Invesco International Growth Fund
Class A Shares Contractual 1.40% May 23, 2011 June 30, 2013
Class B Shares Contractual 2.15% May 23, 2011 June 30, 2013
Class C Shares Contractual 2.15% May 23, 2011 June 30, 2013
Class R Shares Contractual 1.65% May 23, 2011 June 30, 2013
Class R5 Shares Contractual 1.15% May 23, 2011 June 30, 2013
Class Y Shares Contractual 1.15% May 23, 2011 June 30, 2013
AIM INVESTMENT FUNDS (INVESCO INVESTMENT FUNDS)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -----------------
Invesco Balanced-Risk Allocation Fund/3/
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco Balanced-Risk Commodity Strategy Fund/4/
Class A Shares Contractual 1.22% November 29, 2010 June 30, 2014
Class B Shares Contractual 1.97% November 29, 2010 June 30, 2014
Class C Shares Contractual 1.97% November 29, 2010 June 30, 2014
Class R Shares Contractual 1.47% November 29, 2010 June 30, 2014
Class R5 Shares Contractual 0.97% November 29, 2010 June 30, 2014
Class Y Shares Contractual 0.97% November 29, 2010 June 30, 2014
Invesco China Fund
Class A Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Developing Markets Fund
Class A Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2012 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2012 June 30, 2013
Invesco Emerging Market Local Currency Debt Fund
Class A Shares Contractual 1.24% June 14, 2010 February 28, 2013
Class B Shares Contractual 1.99% June 14, 2010 February 28, 2013
Class C Shares Contractual 1.99% June 14, 2010 February 28, 2013
Class R Shares Contractual 1.49% June 14, 2010 February 28, 2013
Class Y Shares Contractual 0.99% June 14, 2010 February 28, 2013
Class R5 Shares Contractual 0.99% June 14, 2010 February 28, 2013
Invesco Emerging Markets Equity Fund
Class A Shares Contractual 1.85% May 11, 2011 February 28, 2013
Class C Shares Contractual 2.60% May 11, 2011 February 28, 2013
Class R Shares Contractual 2.10% May 11, 2011 February 28, 2013
Class R5 Shares Contractual 1.60% May 11, 2011 February 28, 2013
Class Y Shares Contractual 1.60% May 11, 2011 February 28, 2013
See page 14 for footnotes to Exhibit A.
9
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ -----------------
Invesco Endeavor Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Invesco Global Health Care Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2012 June 30, 2013
Invesco Global Markets Strategy Fund/5/
Class H1 Shares Contractual 2.00% September 25, 2012 October 31, 2013
Invesco International Total Return Fund
Class A Shares Contractual 1.10% March 31, 2006 February 28, 2013
Class B Shares Contractual 1.85% March 31, 2006 February 28, 2013
Class C Shares Contractual 1.85% March 31, 2006 February 28, 2013
Class R5 Shares Contractual 0.85% October 3, 2008 February 28, 2013
Class Y Shares Contractual 0.85% March 31, 2006 February 28, 2013
Invesco Pacific Growth Fund
Class A Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class B Shares Contractual 3.00% July 1, 2012 June 30, 2013
Class C Shares Contractual 3.00% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.50% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class Y Shares Contractual 2.00% July 1, 2012 June 30, 2013
Invesco Premium Income Fund
Class A Shares Contractual 0.89% December 13, 2011 February 28, 2013
Class C Shares Contractual 1.64% December 13, 2011 February 28, 2013
Class R Shares Contractual 1.14% December 13, 2011 February 28, 2013
Class R5 Shares Contractual 0.64% December 13, 2011 February 28, 2013
Class Y Shares Contractual 0.64% December 13, 2011 February 28, 2013
Invesco Select Companies Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
AIM INVESTMENT SECURITIES FUNDS (INVESCO INVESTMENT SECURITIES FUNDS)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ -----------------
Invesco Corporate Bond Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
See page 14 for footnotes to Exhibit A.
10
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -------------
Invesco Dynamics Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Global Real Estate Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Invesco High Yield Fund
Class A Shares Contractual 0.89% June 6, 2011 June 30, 2013
Class B Shares Contractual 1.64% June 6, 2011 June 30, 2013
Class C Shares Contractual 1.64% June 6, 2011 June 30, 2013
Class R5 Shares Contractual 0.64% June 6, 2011 June 30, 2013
Class Y Shares Contractual 0.64% June 6, 2011 June 30, 2013
Investor Class Shares Contractual 0.89% June 6, 2011 June 30, 2013
Invesco High Yield Securities Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.10% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco Limited Maturity Treasury Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class A2 Shares Contractual 1.40% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco Municipal Bond Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Investor Class Shares Contractual 1.50% July 1, 2012 June 30, 2013
Invesco Real Estate Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2012 June 30, 2013
Invesco Short Term Bond Fund
Class A Shares Contractual 0.56% June 6, 2011 June 30, 2013
Class C Shares Contractual 0.91% March 4, 2009 June 30, 2013
Class R Shares Contractual 0.91% March 4, 2009 June 30, 2013
Class R5 Shares Contractual 0.41% March 4, 2009 June 30, 2013
Class Y Shares Contractual 0.41% March 4, 2009 June 30, 2013
See page 14 for footnotes to Exhibit A.
11
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -------------
Invesco U.S. Government Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Investor Class Shares Contractual 1.50% July 1, 2012 June 30, 2013
AIM SECTOR FUNDS (INVESCO SECTOR FUNDS)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -------------
Invesco American Value Fund
Class A Shares Contractual 1.25% April 30, 2012 June 30, 2013
Class B Shares Contractual 2.00% April 30, 2012 June 30, 2013
Class C Shares Contractual 2.00% April 30, 2012 June 30, 2013
Class R Shares Contractual 1.50% April 30, 2012 June 30, 2013
Class R5 Shares Contractual 1.00% April 30, 2012 June 30, 2013
Class Y Shares Contractual 1.00% April 30, 2012 June 30, 2013
Invesco Comstock Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco Energy Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Gold & Precious Metals Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Leisure Fund
Class A Shares Contractual 2.00% July 1, 2009 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2009 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2009 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2009 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2009 June 30, 2013
Invesco Mid Cap Growth Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco Small Cap Value Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
See page 14 for footnotes to Exhibit A.
12
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -------------
Invesco Technology Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
Investor Class Shares Contractual 2.00% July 1, 2012 June 30, 2013
Invesco Technology Sector Fund
Class A Shares Contractual 2.00% February 12, 2010 June 30, 2013
Class B Shares Contractual 2.75% February 12, 2010 June 30, 2013
Class C Shares Contractual 2.75% February 12, 2010 June 30, 2013
Class Y Shares Contractual 1.75% February 12, 2010 June 30, 2013
Invesco Utilities Fund
Class A Shares Contractual 1.32% May 23, 2011 June 30, 2013
Class B Shares Contractual 2.07% May 23, 2011 June 30, 2013
Class C Shares Contractual 2.07% May 23, 2011 June 30, 2013
Class R5 Shares Contractual 1.07% May 23, 2011 June 30, 2013
Class Y Shares Contractual 1.07% May 23, 2011 June 30, 2013
Investor Class Shares Contractual 1.32% May 23, 2011 June 30, 2013
Invesco Value Opportunities Fund
Class A Shares Contractual 2.00% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.75% July 1, 2012 June 30, 2013
Class R Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.75% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.75% July 1, 2012 June 30, 2013
AIM TAX-EXEMPT FUNDS (INVESCO TAX-EXEMPT FUNDS)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -------------
Invesco High Yield Municipal Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
Invesco Intermediate Term Municipal Income Fund
Class A Shares Contractual 0.75% June 6, 2011 June 30, 2013
Class B Shares Contractual 1.50% June 6, 2011 June 30, 2013
Class C Shares Contractual 1.50% June 6, 2011 June 30, 2013
Class Y Shares Contractual 0.50% June 6, 2011 June 30, 2013
Invesco Municipal Income Fund
Class A Shares Contractual 0.83% June 6, 2011 June 30, 2013
Class B Shares Contractual 1.58% June 6, 2011 June 30, 2013
Class C Shares Contractual 1.58% June 6, 2011 June 30, 2013
Class Y Shares Contractual 0.58% June 6, 2011 June 30, 2013
Invesco New York Tax Free Income Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class B Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class C Shares Contractual 2.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
See page 14 for footnotes to Exhibit A.
13
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -------------
Invesco Tax-Free Intermediate Fund
Class A Shares Contractual 1.50% July 1, 2012 June 30, 2013
Class A2 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class R5 Shares Contractual 1.25% July 1, 2012 June 30, 2013
Class Y Shares Contractual 1.25% July 1, 2012 June 30, 2013
/1/ The total operating expenses of any class of shares established after the
date of this Memorandum of Agreement will be limited to the amount
established for Class A Shares plus the difference between the new class
12b-1 rate and the Class A 12b-1 rate.
/2/ The expense limit shown is the expense limit after Rule 12b-1 fee waivers
by Invesco Distributors, Inc.
/3/ Includes waived fees or reimbursed expenses that Invesco receives from
Invesco Cayman Commodity Fund I, Ltd.
/4/ Includes waived fees or reimbursed expenses that Invesco receives from
Invesco Cayman Commodity Fund III, Ltd.
/5/ Includes waived fees or reimbursed expenses that Invesco receives from
Invesco Cayman Commodity Fund V, Ltd.
14
as of September 25, 2012
EXHIBIT "B" - INSTITUTIONAL MONEY MARKET FUNDS/1,2/
SHORT-TERM INVESTMENTS TRUST
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- -----------------
Government & Agency Portfolio
Cash Management Class Contractual 0.22%/2/ July 1, 2009 December 31, 2012
Corporate Class Contractual 0.17% July 1, 2009 December 31, 2012
Institutional Class Contractual 0.14% July 1, 2009 December 31, 2012
Personal Investment Class Contractual 0.69%/2/ July 1, 2009 December 31, 2012
Private Investment Class Contractual 0.44%/2/ July 1, 2009 December 31, 2012
Reserve Class Contractual 1.01%/2/ July 1, 2009 December 31, 2012
Resource Class Contractual 0.30%/2/ July 1, 2009 December 31, 2012
Government TaxAdvantage Portfolio
Cash Management Class Contractual 0.22%/2/ July 1, 2009 December 31, 2012
Corporate Class Contractual 0.17% July 1, 2009 December 31, 2012
Institutional Class Contractual 0.14% July 1, 2009 December 31, 2012
Personal Investment Class Contractual 0.69%/2/ July 1, 2009 December 31, 2012
Private Investment Class Contractual 0.39%/2/ July 1, 2009 December 31, 2012
Reserve Class Contractual 1.01%/2/ July 1, 2009 December 31, 2012
Resource Class Contractual 0.30%/2/ July 1, 2009 December 31, 2012
Liquid Assets Portfolio
Cash Management Class Contractual 0.22%/2/ July 1, 2009 December 31, 2012
Corporate Class Contractual 0.17% July 1, 2009 December 31, 2012
Institutional Class Contractual 0.14% July 1, 2009 December 31, 2012
Personal Investment Class Contractual 0.69%/2/ July 1, 2009 December 31, 2012
Private Investment Class Contractual 0.44%/2/ July 1, 2009 December 31, 2012
Reserve Class Contractual 1.01%/2/ July 1, 2009 December 31, 2012
Resource Class Contractual 0.34% July 1, 2009 December 31, 2012
STIC Prime Portfolio
Cash Management Class Contractual 0.22%/2/ July 1, 2009 December 31, 2012
Corporate Class Contractual 0.17% July 1, 2009 December 31, 2012
Institutional Class Contractual 0.14% July 1, 2009 December 31, 2012
Personal Investment Class Contractual 0.69%/2/ July 1, 2009 December 31, 2012
Private Investment Class Contractual 0.44%/2/ July 1, 2009 December 31, 2012
Reserve Class Contractual 1.01%/2/ July 1, 2009 December 31, 2012
Resource Class Contractual 0.30%/2/ July 1, 2009 December 31, 2012
Tax-Free Cash Reserve Portfolio/3/
Cash Management Class Contractual 0.33%/2/ July 1, 2009 December 31, 2012
Corporate Class Contractual 0.28% July 1, 2009 December 31, 2012
Institutional Class Contractual 0.25% July 1, 2009 December 31, 2012
Personal Investment Class Contractual 0.80%/2/ July 1, 2009 December 31, 2012
Private Investment Class Contractual 0.50%/2/ July 1, 2009 December 31, 2012
Reserve Class Contractual 1.12%/2/ July 1, 2009 December 31, 2012
Resource Class Contractual 0.41%/2/ July 1, 2009 December 31, 2012
Treasury Portfolio
Cash Management Class Contractual 0.22%/2/ July 1, 2009 December 31, 2012
Corporate Class Contractual 0.17% July 1, 2009 December 31, 2012
Institutional Class Contractual 0.14% July 1, 2009 December 31, 2012
Personal Investment Class Contractual 0.69%/2/ July 1, 2009 December 31, 2012
Private Investment Class Contractual 0.44%/2/ July 1, 2009 December 31, 2012
Reserve Class Contractual 1.01%/2/ July 1, 2009 December 31, 2012
Resource Class Contractual 0.30%/2/ July 1, 2009 December 31, 2012
/1/ The expense rate excluding 12b-1 fees of any class of shares established
after the date of this Memorandum of Agreement will be the same as
existing classes.
/2/ The expense limit shown is the expense limit after Rule 12b-1 fee waivers
by Invesco Distributors, Inc.
/3/ The expense limitation also excludes Trustees' fees and federal
registration expenses.
15
as of September 25, 2012
EXHIBIT "C" - VARIABLE INSURANCE FUNDS
AIM VARIABLE INSURANCE FUNDS (INVESCO VARIABLE INSURANCE FUNDS)
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- --------------
Invesco V.I. Balanced-Risk Allocation Fund/1/
Series I Shares Contractual 0.72% May 15, 2012 June 30, 2013
Series II Shares Contractual 0.97% May 15, 2012 June 30, 2013
Invesco V.I. Core Equity Fund
Series I Shares Contractual 1.30% January 1, 2005 April 30, 2013
Series II Shares Contractual 1.45% January 1, 2005 April 30, 2013
Invesco V.I. Diversified Dividend Fund
Series I Shares Contractual 0.77% July 1, 2012 April 30, 2013
Series II Shares Contractual 1.02% July 1, 2012 April 30, 2013
Invesco V.I. Diversified Income Fund
Series I Shares Contractual 0.75% July 1, 2005 April 30, 2013
Series II Shares Contractual 1.00% July 1, 2005 April 30, 2013
Invesco V.I. Equally-Weighted S&P 500 Fund
Series I Shares Contractual 2.00% July 1, 2012 June 30, 2013
Series II Shares Contractual 2.25% July 1, 2012 June 30, 2013
Invesco V.I. Global Core Equity Fund
Series I Shares Contractual 2.25% July 1, 2012 June 30, 2013
Series II Shares Contractual 2.50% July 1, 2012 June 30, 2013
Invesco V.I. Global Health Care Fund
Series I Shares Contractual 1.30% April 30, 2004 April 30, 2013
Series II Shares Contractual 1.45% April 30, 2004 April 30, 2013
Invesco V.I. Global Real Estate Fund
Series I Shares Contractual 1.30% April 30, 2004 April 30, 2013
Series II Shares Contractual 1.45% April 30, 2004 April 30, 2013
Invesco V.I. Government Securities Fund
Series I Shares Contractual 0.70% July 1, 2012 April 30, 2013
Series II Shares Contractual 0.95% July 1, 2012 April 30, 2013
Invesco V.I. High Yield Fund
Series I Shares Contractual 0.80% May 2, 2011 June 30, 2013
-----------------
/1/ Includes waived fees or reimbursed expenses that Invesco receives from
Invesco Cayman Commodity Fund IV, Ltd.
16
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ------------------ --------------
Series II Shares Contractual 1.05% May 2, 2011 June 30, 2013
Invesco V.I. High Yield Securities Fund
Series I Shares Contractual 1.50% July 1, 2012 June 30, 2013
Series II Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco V.I. International Growth Fund
Series I Shares Contractual 2.25% July 1, 2012 June 30, 2013
Series II Shares Contractual 2.50% July 1, 2012 June 30, 2013
Invesco V.I. Mid Cap Core Equity Fund
Series I Shares Contractual 1.30% September 10, 2001 April 30, 2013
Series II Shares Contractual 1.45% September 10, 2001 April 30, 2013
Invesco V.I. Money Market Fund
Series I Shares Contractual 1.30% January 1, 2005 April 30, 2013
Series II Shares Contractual 1.45% January 1, 2005 April 30, 2013
Invesco V.I. S&P 500 Index Fund
Series I Shares Contractual 2.00% July 1, 2012 June 30, 2013
Series II Shares Contractual 2.25% July 1, 2012 June 30, 2013
Invesco V.I. Small Cap Equity Fund
Series I Shares Contractual 1.15% July 1, 2005 April 30, 2013
Series II Shares Contractual 1.40% July 1, 2005 April 30, 2013
Invesco V.I. Technology Fund
Series I Shares Contractual 1.30% April 30, 2004 April 30, 2013
Series II Shares Contractual 1.45% April 30, 2004 April 30, 2013
Invesco V.I. Utilities Fund
Series I Shares Contractual 2.00% May 1, 2012 June 30, 2013
Series II Shares Contractual 2.25% May 1, 2012 June 30, 2013
Invesco Van Kampen V.I. American Franchise Fund
Series I Shares Contractual 0.90% July 1, 2012 June 30, 2014
Series II Shares Contractual 1.15% July 1, 2012 June 30, 2014
Invesco Van Kampen V.I. American Value Fund
Series I Shares Contractual 2.00% July 1, 2012 June 30, 2013
Series II Shares Contractual 2.25% July 1, 2012 June 30, 2013
Invesco Van Kampen V.I. Comstock Fund
Series I Shares Contractual 0.72% July 1, 2012 April 30, 2013
Series II Shares Contractual 0.97% July 1, 2012 April 30, 2013
17
as of September 25, 2012
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- --------------
Invesco Van Kampen V.I. Equity and Income Fund
Series I Shares Contractual 1.50% July 1, 2012 June 30, 2013
Series II Shares Contractual 1.75% July 1, 2012 June 30, 2013
Invesco Van Kampen V.I. Growth and Income Fund
Series I Shares Contractual 0.72% July 1, 2012 April 30, 2013
Series II Shares Contractual 0.97% July 1, 2012 April 30, 2013
Invesco Van Kampen V.I. Mid Cap Growth Fund
Series I Shares Contractual 1.09% July 1, 2012 June 30, 2014
Series II Shares Contractual 1.34% July 1, 2012 June 30, 2014
Invesco Van Kampen V.I. Value Opportunities Fund
Series I Shares Contractual 1.30% January 1, 2005 April 30, 2013
Series II Shares Contractual 1.45% January 1, 2005 April 30, 2013
18
as of September 25, 2012
EXHIBIT "D" - CLOSED-END FUNDS
INVESCO MUNICIPAL INCOME OPPORTUNITIES TRUST I
CONTRACTUAL/ EXPENSE EFFECTIVE DATE OF EXPIRATION
FUND VOLUNTARY LIMITATION CURRENT LIMIT DATE
---- ------------ ---------- ----------------- ---------------
Invesco Municipal Income Opportunities Trust I Contractual 0.67% August 27, 2012 August 31, 2014
19
Sub-Item 77Q1(e)
AMENDMENT NO. 17
TO
MASTER INVESTMENT ADVISORY AGREEMENT
This Amendment dated as of September 24, 2012, amends the Master Investment
Advisory Agreement (the "Agreement") dated June 21, 2000, between AIM Equity
Funds (Invesco Equity Funds), a Delaware statutory trust, and Invesco Advisers,
Inc., a Delaware corporation.
W I T N E S S E T H:
WHEREAS, the parties desire to amend the Agreement to remove the Invesco
Capital Development Fund;
NOW, THEREFORE, the parties agree that:
1. Appendix A and Appendix B to the Agreement are hereby deleted in their
entirety and replaced with the following:
"APPENDIX A
FUNDS AND EFFECTIVE DATES
NAME OF FUND EFFECTIVE DATE OF ADVISORY AGREEMENT
------------ -------------------------------------
Invesco Charter Fund June 1, 2000
Invesco Constellation Fund June 1, 2000
Invesco Disciplined Equity Fund July 14, 2009
Invesco Diversified Dividend Fund December 28, 2001
Invesco Summit Fund April 30, 2008
APPENDIX B
COMPENSATION TO THE ADVISOR
The Trust shall pay the Advisor, out of the assets of a Fund, as full
compensation for all services rendered, an advisory fee for such Fund set forth
below. Such fee shall be calculated by applying the following annual rates to
the average daily net assets of such Fund for the calendar year computed in the
manner used for the determination of the net asset value of shares of such Fund.
INVESCO CHARTER FUND
NET ASSETS ANNUAL RATE
---------- -----------
First $250 million.......................................... 0.695%
Next $4.05 billion.......................................... 0.615%
Next $3.9 billion........................................... 0.57%
Next $1.8 billion........................................... 0.545%
Over $10 billion............................................ 0.52%
INVESCO CONSTELLATION FUND
NET ASSETS ANNUAL RATE
---------- -----------
First $150 million.......................................... 0.80%
Over $150 million........................................... 0.625%
INVESCO DISCIPLINED EQUITY FUND
NET ASSETS ANNUAL RATE
---------- -----------
First $250 million.......................................... 0.695%
Next $250 million........................................... 0.67%
Next $500 million........................................... 0.645%
Next $1.5 billion........................................... 0.62%
Next $2.5 billion........................................... 0.595%
Next $2.5 billion........................................... 0.57%
Next $2.5 billion........................................... 0.545%
Over $10 billion............................................ 0.52%
2
INVESCO DIVERSIFIED DIVIDEND FUND
NET ASSETS ANNUAL RATE
---------- -----------
First $350 million................................ 0.60%
Next $350 million................................. 0.55%
Next $1.3 billion................................. 0.50%
Next $2 billion................................... 0.45%
Next $2 billion................................... 0.40%
Next $2 billion................................... 0.375%
Over $8 billion................................... 0.35%
INVESCO SUMMIT FUND
NET ASSETS ANNUAL RATE
---------- -----------
First $10 million................................. 1.00%
Over $10 million up to and including $150 million. 0.75%
Over $150 million................................. 0.625%"
2. In all other respects, the Agreement is hereby confirmed and remains in
full force and effect.
IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by
their respective officers on the date first written above.
AIM EQUITY FUNDS
(INVESCO EQUITY FUNDS)
Attest: By: /s/ John M. Zerr
---------------------- ----------------------
Assistant Secretary John M. Zerr
Senior Vice President
(SEAL)
INVESCO ADVISERS, INC.
Attest: By: /s/ John M. Zerr
---------------------- ----------------------
Assistant Secretary John M. Zerr
Senior Vice President
(SEAL)
3
EX-99.77Q1 OTHR EXHB
7
dex77q3txt.txt
EX-99.77Q3
INVESCO CONSTELLATION FUND SUB-ITEM 77Q3
DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF
INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL
INFORMATION FOR ITEMS 74U AND 74V.
FOR PERIOD ENDING: 10/31/2012
FILE NUMBER : 811-1424
SERIES NO.: 2
74U. 1 Number of shares outstanding (000's Omitted)
Class A 94,940
2 Number of shares outstanding of a second class of
open-end company shares (000's Omitted)
Class B 3,172
Class C 3,962
Class R 334
Class Y 521
Class R5 189
74V. 1 Net asset value per share (to nearest cent)
Class A $ 23.31
2 Net asset value per share of a second class of
open-end company shares (to nearest cent)
Class B $ 20.66
Class C $ 20.65
Class R $ 22.86
Class Y $ 23.49
Class R5 $ 26.13
INVESCO CHARTER FUND SUB-ITEM 77Q3
DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF
INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL
INFORMATION FOR ITEMS 72DD, 73A, 74U AND 74V.
FOR PERIOD ENDING: 10/31/2012
FILE NUMBER : 811-1424
SERIES NO.: 3
72DD. 1 Total income dividends for which record date
passed during the period. (000's Omitted)
Class A $ 25,075
2 Dividends for a second class of open-end company
shares (000's Omitted)
Class R $ 300
Class S $ 150
Class Y $ 1,625
Class R5 $ 3,844
73A. Payments per share outstanding during the entire
current period: (form nnn.nnnn)
1 Dividends from net investment income
Class A 0.1034
2 Dividends for a second class of open-end company
shares (form nnn.nnnn)
Class R 0.0721
Class S 0.1176
Class Y 0.1390
Class R5 0.1560
74U. 1 Number of shares outstanding (000's Omitted)
Class A 226,979
2 Number of shares outstanding of a second class of
open-end company shares (000's Omitted)
Class B 7,390
Class C 14,572
Class R 4,635
Class S 1,187
Class Y 20,337
Class R5 20,692
Class R6 5,250
74V. 1 Net asset value per share (to nearest cent)
Class A $ 17.73
2 Net asset value per share of a second class of
open-end company shares (to nearest cent)
Class B $ 16.96
Class C $ 17.00
Class R $ 17.59
Class S $ 17.75
Class Y $ 17.81
Class R5 $ 18.29
Class R6 $ 18.29
INVESCO CAPITAL DEVELOPMENT FUND SUB-ITEM 77Q3
DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF
INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL
INFORMATION FOR ITEMS 74U AND 74V.
FOR PERIOD ENDING: 4/30/2012
FILE NUMBER : 811-1424
SERIES NO.: 11
74U. 1 Number of shares outstanding (000's Omitted)
Class A 26,964
2 Number of shares outstanding of a second class of
open-end company shares (000's Omitted)
Class B 1,994
Class C 3,607
Class R 1,474
Class Y 407
Investor Class 595
Institutional Class 750
74V. 1 Net asset value per share (to nearest cent)
Class A $ 17.11
2 Net asset value per share of a second class of
open-end company shares (to nearest cent)
Class B $ 14.62
Class C $ 14.60
Class R $ 16.67
Class Y $ 17.26
Investor Class $ 17.12
Institutional Class $ 18.23
INVESCO DIVERSIFIED DIVIDEND FUND SUB-ITEM 77Q3
DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF
INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL
INFORMATION FOR ITEMS 72DD, 73A, 74U AND 74V.
FOR PERIOD ENDING: 10/31/2012
FILE NUMBER : 811-1424
SERIES NO.: 18
72DD. 1 Total income dividends for which record date
passed during the period. (000's Omitted)
Class A $ 40,823
2 Dividends for a second class of open-end company
shares (000's Omitted)
Class B $ 377
Class C $ 1,402
Class R $ 437
Class Y $ 3,068
Investor Class $ 24,044
Class R5 $ 13,890
73A. Payments per share outstanding during the entire
current period: (form nnn.nnnn)
1 Dividends from net investment income
Class A $ 0.2252
2 Dividends for a second class of open-end company
shares (form nnn.nnnn)
Class B $ 0.1302
Class C $ 0.1301
Class R $ 0.1946
Class Y $ 0.2569
Investor Class $ 0.2293
Class R5 $ 0.2680
74U. 1 Number of shares outstanding (000's Omitted)
Class A 186,131
2 Number of shares outstanding of a second class of
open-end company shares (000's Omitted)
Class B 2,642
Class C 11,467
Class R 2,795
Class Y 13,211
Investor Class 106,722
Class R5 53,227
Class R6 12,289
74V. 1 Net asset value per share (to nearest cent)
Class A $ 13.54
2 Net asset value per share of a second class of
open-end company shares (to nearest cent)
Class B $ 13.40
Class C $ 13.38
Class R $ 13.58
Class Y $ 13.56
Investor Class $ 13.53
Class R5 $ 13.54
Class R6 $ 13.54
INVESCO SUMMIT FUND SUB-ITEM 77Q3
DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF
INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL
INFORMATION FOR ITEMS 72DD, 73A, 74U AND 74V.
FOR PERIOD ENDING: 10/31/2012
FILE NUMBER : 811-1424
SERIES NO.: 19
72DD. 1 Total income dividends for which record date
passed during the period. (000's Omitted)
Class A $ 4
2 Dividends for a second class of open-end company
shares (000's Omitted)
Class P $ 2,373
Class S $ 5
Class Y $ 3
73A. Payments per share outstanding during the entire
current period: (form nnn.nnnn)
1 Dividends from net investment income
Class A 0.0023
2 Dividends for a second class of open-end company
shares (form nnn.nnnn)
Class P 0.0180
Class S 0.0157
Class Y 0.0307
Class R5 0.0396
74U. 1 Number of shares outstanding (000's Omitted)
Class A 1,792
2 Number of shares outstanding of a second class of
open-end company shares (000's Omitted)
Class B 74
Class C 129
Class P 119,066
Class S 307
Class Y 38
Class R5 10
74V. 1 Net asset value per share (to nearest cent)
Class A $ 12.67
2 Net asset value per share of a second class of
open-end company shares (to nearest cent)
Class B $ 12.25
Class C $ 12.22
Class P $ 12.75
Class S $ 12.70
Class Y $ 12.72
Class R5 $ 12.73