Sales charge information

Contingent deferred sales charge (CDSC)

A 1.00% CDSC applies to:

Class A shares redeemed within one year of purchase that were bought without paying a front-end sales charge as part of an investment of at least $1 million redeemed.

Class C shares redeemed within twelve months of purchase.

Upon redemption, the following schedule applies to Class B1 shares within six years of purchase:

Years since purchaseCDSC
First5.00%
Second4.00%
Third4.00%
Fourth3.00%
Fifth2.00%
Sixth1.00%
Seventh and thereafter0.00%

Applicable Sales Charge – Class A Shares

You can purchase Class A shares at the NAV per share plus an initial sales charge (referred to as the Offering Price). The sales charge as a percentage of your investment decreases as the amount you invest increases. The current sales charge rates are as follows:

All funds

All Asset Fund, Emerging Markets Opportunities Fund, European Focus Fund, Global Equity Income Fund, Global Technology Fund, International Opportunities Fund, US Growth Opportunities FundDividend & Income Builder Fund, International Long/Short Equity FundHigh Yield Opportunities Fund, Strategic Income Fund
Sales charge2 as a % of: Amount of purchaseOffering priceNet amount investedDealer reallowance as % of offering priceOffering priceNet amount investedDealer reallowance as % of offering priceOffering priceNet amount investedDealer reallowance as % of offering price
Less than $50,0005.75%6.10%5.00%5.00%5.26%4.50%4.75%4.99%4.25%
$50,000 but less than $100,0004.75%4.99%4.50%4.25%4.44%4.00%4.50%4.71%4.00%
$100,000 but less than $250,0004.00%4.17%3.75%3.50%3.63%3.25%3.50%3.63%3.00%
$250,000 but less than $500,000 3.00%3.09%2.75%2.50%2.56%2.25%2.50%2.56%2.25%
$500,000 but less than $1,000,0002.20%2.25%1.95%1.50%1.52%1.25%2.00%2.04%1.75%
$1,000,000 or more None3None3None4None3None3None4None3None3None4

1. Effective November 30, 2010, the Henderson Global Funds will not accept new or additional investments in Class B shares. Please refer to the current prospectus for more information.

2. Because of rounding in the calculation of offering price, actual sales charges you pay may be more or less than those calculated using these percentages.

3. No initial sales charge applies on investments of $1 million or more. However, a CDSC of 1% is imposed on certain redemptions of such investments within one year of purchase.

4. Foreside Fund Services, LLC, the Funds’ distributor (“Distributor”), may pay a sales commission of up to 1.00% of the offering price of Class A shares to brokers that initiate and are responsible for purchases of $1 million or more. Please note if a client or financial intermediary is unable to provide account verification on purchases receiving million dollar breakpoints due to rights of accumulation, sales commissions will be forfeited. Purchases eligible for sales charge waivers as described under "Sales Charge Waivers – Class A Shares" are not eligible for sales commissions on purchases of $1 million or more. Please see the Funds' prospectus for more information.

Sales Charge Reductions – Class A Shares

You may qualify for reduced sales charges in the following cases:

  • Letter of Intent. If you intend to purchase at least $50,000 of Class A shares of a Fund, you may wish to complete the Letter of Intent section of your account application form. By doing so, you agree to invest a certain amount over a 13-month period. You would pay a sales charge on any Class A shares you purchase during the 13 months based on the total amount to be invested under the Letter of Intent. You can apply any investments you made in any of the Henderson Global Funds during the preceding 90-day period toward fulfillment of the Letter of Intent (although there will be no refund of sales charges you paid during the 90-day period).

    You are not obligated to purchase the amount specified in the Letter of Intent. If you purchase less than the amount specified, however, you must pay the difference between the sales charge paid and the sales charge applicable to the purchases actually made. The Funds’ custodian will hold such amount in shares in escrow. The custodian will pay the escrowed funds to your account at the end of the 13 months unless you do not complete your intended investment.
  • Rights of Accumulation. The value of eligible accounts across all Henderson Global Funds maintained by you and each member of your immediate family may be combined with the value of your current purchase to obtain a lower sales charge for that purchase (according to the chart above). For purposes of obtaining a breakpoint discount, a member of your "immediate family" includes your spouse, parent, stepparent, legal guardian, children and/or stepchildren under age 21, father-in-law, mother-in-law and partnerships created through civil unions.

    Eligible accounts include:

    • Individual accounts
    • Joint accounts between the individuals described above
    • Certain fiduciary accounts
    • Single participant retirement plans
    • Solely controlled business accounts

    Fiduciary accounts include trust and estate accounts. Fiduciary accounts may be aggregated with the accounts described above so long as there are no beneficiaries other than you and members of your immediate family. In addition, a fiduciary can count all shares purchased for a fiduciary account that may have multiple accounts and/or beneficiaries. For example, if you own Class A shares of the International Opportunities Fund that have an aggregate value of $100,000, and make an additional investment in Class A shares of the Fund of $4,000, the sales charge applicable to the additional investment would be 4.00%, rather than the 5.75% normally charged on a $4,000 purchase (sales load of each Fund will vary). Please contact your broker to establish a new account under Rights of Accumulation.

    Fiduciary accounts include trust and estate accounts. Fiduciary accounts may be aggregated with the accounts described above so long as there are no beneficiaries other than you and members of your immediate family. In addition, a fiduciary can count all shares purchased for a fiduciary account that may have multiple accounts and/or beneficiaries. For example, if you own Class A shares of the International Opportunities Fund that have an aggregate value of $100,000, and make an additional investment in Class A shares of the Fund of $4,000, the sales charge applicable to the additional investment would be 4.00%, rather than the 5.75% normally charged on a $4,000 purchase (sales load of each Fund will vary). Please contact your broker to establish a new account under Rights of Accumulation.

For purposes of determining whether you are eligible for a reduced Class A sales charge, investments will be valued at their current offering price or the public offering price originally paid per share, whichever is higher. You should retain any records necessary to substantiate the public offering price originally paid.

To receive a reduction in your Class A initial sales charge, you must let your financial adviser or shareholder services know at the time you purchase shares that you qualify for such a reduction. You may be asked by your financial adviser or shareholder services to provide account statements or other information regarding related accounts of you or your immediate family in order to verify your eligibility for a reduced sales charge, including, where applicable, information about accounts opened with a different financial adviser.

Certain brokers or financial advisers may not offer these programs or may impose conditions or fees to use these programs. You should consult with your broker or your financial adviser prior to purchasing a Fund’s shares.