Fixed Income Funds. Hartford Schroders Emerging Markets Multi-Sector Bond Fund Hartford Schroders Sustainable Core Bond Fund Hartford Schroders Tax-Aware Bond Fund You may charge a commission or other transaction based fee on purchases and sales of Class F, I, Y, R6 and SDR shares of the Fund on your firm’s brokerage platform. To the extent such a fee is charged, you represent that you are acting solely as an agent for your customer with respect to their purchase or sale of such shares. Any such commission will be charged in a manner consistent with applicable FINRA rules. Purchases and sales of the Fund’s Class F, I, Y, R6 and SDR shares may only be executed as purchases or redemptions between the investor and the Fund. You shall not execute trades of such shares between investors. APPENDIX B (As of September 21, 2023) Compensation CLASS A SHARES All Retail Mutual Funds other than Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund: Amount of Sale Sales Charge Dealer Concession Less than $50,000 5.50% 4.75% $50,000-$99,999 4.50% 4.00% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 4.50% 3.75% $50,000-$99,999 4.00% 3.50% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * The Hartford Floating Rate Fund and The Hartford Floating Rate High Income Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 3.00% 2.50% $50,000-$99,999 2.50% 2.00% $100,000-$249,999 2.25% 1.75% $250,000-$499,999 1.75% 1.25% $500,000-$999,999 1.25% 1.00% $1 million or more 0.00% * The Hartford Short Duration Fund pays the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $250,000 2.00% 1.50% $250,000-$499,999 1.50% 1.00% $500,000 or more 0.00% ** * No upfront sales charge on investments $1 million or more. However, there is a CDSC of 1% on any shares sold within 18 months of purchase with respect to each Retail Mutual Fund, except The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, and a CDSC of 0.75% with respect to The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund. With respect to all Retail Mutual Funds except The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Municipal Opportunities Fund, The Hartford Short Duration Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, and The Hartford High Yield Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to Hartford Schroders Tax-Aware Bond Fund, The Hartford Total Return Bond Fund and The Hartford Municipal Opportunities Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 0.75% on first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. ** No upfront sales charge on investments $500,000 or more. However, there is a CDSC of 0.75% on any shares sold within 18 months of purchase. The Distributor may pay dealers of record commissions on purchases of $500,000 or more in an amount of up to 0.75% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. Rule 12b-1 Fee: 25 basis points beginning immediately for all Class A Shares, with the exception of purchases of $1,000,000 or more for the Retail Mutual Funds ($500,000 or more for The Hartford Short Duration Fund) where the dealer was paid a commission by HFD, in which case the 12b-1 Fee of 25 basis points will begin in the 13th month after purchase. No concession will be paid on Class A Shares sold on a load-waived basis to wrap fee programs. No concession will be paid on Class A Shares sold on a load-waived basis to current or retired officers, directors and employees (and family members, as defined under the “Accumulation Privilege” section of the Prospectus) of the Fund, The Hartford, the sub-advisers to the Hartford Mutual Funds, the transfer agent, and their affiliates. CLASS C SHARES The compensation payable for sales of Class C Shares of all Funds is as follows:
Appears in 1 contract
Fixed Income Funds. Hartford Schroders Emerging Markets Multi-Sector Bond High Yield HLS Fund Hartford Schroders Sustainable Core Total Return Bond HLS Fund Hartford Schroders Tax-Aware Ultrashort Bond HLS Fund You may charge a commission or other transaction based fee on purchases and sales Hartford U.S. Government Securities HLS Fund APPENDIX C (as of Class FMarch 1, I, Y, R6 and SDR shares of the Fund on your firm’s brokerage platform. To the extent such a fee is charged, you represent that you are acting solely as an agent for your customer with respect to their purchase or sale of such shares. Any such commission will be charged in a manner consistent with applicable FINRA rules. Purchases and sales of the Fund’s Class F, I, Y, R6 and SDR shares may only be executed as purchases or redemptions between the investor and the Fund. You shall not execute trades of such shares between investors. APPENDIX B (As of September 21, 20232017) Compensation CLASS A SHARES All Retail Mutual Funds other than Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, Hartford Multi-Asset Income Fund, Hartford Municipal Income Fund, The Hartford Municipal Opportunities Fund, The Hartford Municipal Real Return Fund, Hartford Muncipal Short Duration Fund, The Hartford Quality Bond Fund, The Hartford Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford Unconstrained Bond Fund and The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund: Amount of Sale Sales Charge Dealer Concession Less than $50,000 5.50% 4.75% $50,000-$99,999 4.50% 4.00% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% Over $1 million or more 0.00% * Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, Hartford Multi-Asset Income Fund, Hartford Municipal Income Fund, The Hartford Municipal Opportunities Fund, The Hartford Municipal Real Return Fund, Hartford Municipal Short Duration Fund, The Hartford Quality Bond Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford Unconstrained Bond Fund and The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 4.50% 3.75% $50,000-$99,999 4.00% 3.50% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% Over $1 million or more 0.00% * The Hartford Floating Rate Fund and The Hartford Floating Rate High Income Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 3.00% 2.50% $50,000-$99,999 2.50% 2.00% $100,000-$249,999 2.25% 1.75% $250,000-$499,999 1.75% 1.25% $500,000-$999,999 1.25% 1.00% Over $1 million or more 0.00% * The Hartford Short Duration Fund pays the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $250,000 2.00% 1.50% $250,000-$499,999 1.50% 1.00% $500,000 or more 0.00% ** * No upfront sales charge on investments $1 million or more. However, there is a CDSC of 1% on any shares sold within 18 months of purchase with respect to each Retail Mutual Fund, except The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, and a CDSC of 0.75% with respect to The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund. With respect to all Retail Mutual Funds except The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Municipal Opportunities Fund, The Hartford Short Duration Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, and The Hartford High Yield Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to Hartford Schroders Tax-Aware Bond Fund, The Hartford Total Return Bond Fund and The Hartford Municipal Opportunities Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 0.75% on first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. ** No upfront sales charge on investments $500,000 or more. However, there is a CDSC of 0.75% on any shares sold within 18 months of purchase. The Distributor may pay dealers of record commissions on purchases of $500,000 or more in an amount of up to 0.75% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. Rule 12b-1 Fee: 25 basis points beginning immediately for all Class A Shares, with the exception of purchases of $1,000,000 or more for the Retail Mutual Funds ($500,000 or more for The Hartford Short Duration Fund) where the dealer was paid a commission by HFD, in which case the 12b-1 Fee of 25 basis points will begin in the 13th month after purchase. No concession will be paid on Class A Shares sold on a load-waived basis to wrap fee programs. No concession will be paid on Class A Shares sold on a load-waived basis to current or retired officers, directors and employees (and family members, as defined under the “Accumulation Privilege” section of the Prospectus) of the Fund, The Hartford, the sub-advisers to the Hartford Mutual Funds, the transfer agent, and their affiliates. CLASS C SHARES The compensation payable for sales of Class C Shares of all Funds is as follows:
Appears in 1 contract
Fixed Income Funds. The Hartford Emerging Markets Local Debt Fund The Hartford Floating Rate Fund The Hartford Floating Rate High Income Fund The Hartford High Yield Fund The Hartford Inflation Plus Fund Hartford Multi-Asset Income Fund Hartford Municipal Income Fund The Hartford Municipal Opportunities Fund The Hartford Municipal Real Return Fund Hartford Municipal Short Duration Fund The Hartford Quality Bond Fund The Hartford Short Duration Fund The Hartford Strategic Income Fund The Hartford Total Return Bond Fund The Hartford Unconstrained Bond Fund The Hartford World Bond Fund Hartford Schroders Emerging Markets Debt and Currency Fund Hartford Schroders Emerging Markets Multi-Sector Bond Fund Hartford Schroders Sustainable Core Global Strategic Bond Fund Hartford Schroders Tax-Aware Bond Fund Funds of Funds The Hartford Checks and Balances Fund The Hartford Conservative Allocation Fund The Hartford Growth Allocation Fund Hartford Moderate Allocation Fund Alternative Funds The Hartford Global Real Asset Fund Hartford Real Total Return Fund You may charge a commission or other transaction based fee on purchases and sales of Class F, I, Y, R6 and SDR F shares of the Fund on your firm’s brokerage platform. To the extent such a fee is charged, you represent that you are acting solely as an agent for your customer with respect to their purchase or sale of such Class F shares. Any such commission will be charged in a manner consistent with applicable FINRA rules. Purchases and sales of the Fund’s Class F, I, Y, R6 and SDR F shares may only be executed as purchases or redemptions between the investor and the Fund. You shall not execute trades of such Class F shares between investors. APPENDIX B (As of September 21, 2023) Compensation CLASS A SHARES All Retail Mutual Funds other than Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund: Amount of Sale Sales Charge Dealer Concession Less than $50,000 5.50% 4.75% $50,000-$99,999 4.50% 4.00% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 4.50% 3.75% $50,000-$99,999 4.00% 3.50% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * The Hartford Floating Rate Fund and The Hartford Floating Rate High Income Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 3.00% 2.50% $50,000-$99,999 2.50% 2.00% $100,000-$249,999 2.25% 1.75% $250,000-$499,999 1.75% 1.25% $500,000-$999,999 1.25% 1.00% $1 million or more 0.00% * The Hartford Short Duration Fund pays the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $250,000 2.00% 1.50% $250,000-$499,999 1.50% 1.00% $500,000 or more 0.00% ** * No upfront sales charge on investments $1 million or more. However, there is a CDSC of 1% on any shares sold within 18 months of purchase with respect to each Retail Mutual Fund, except The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, and a CDSC of 0.75% with respect to The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund. With respect to all Retail Mutual Funds except The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Municipal Opportunities Fund, The Hartford Short Duration Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, and The Hartford High Yield Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to Hartford Schroders Tax-Aware Bond Fund, The Hartford Total Return Bond Fund and The Hartford Municipal Opportunities Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 0.75% on first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. ** No upfront sales charge on investments $500,000 or more. However, there is a CDSC of 0.75% on any shares sold within 18 months of purchase. The Distributor may pay dealers of record commissions on purchases of $500,000 or more in an amount of up to 0.75% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. Rule 12b-1 Fee: 25 basis points beginning immediately for all Class A Shares, with the exception of purchases of $1,000,000 or more for the Retail Mutual Funds ($500,000 or more for The Hartford Short Duration Fund) where the dealer was paid a commission by HFD, in which case the 12b-1 Fee of 25 basis points will begin in the 13th month after purchase. No concession will be paid on Class A Shares sold on a load-waived basis to wrap fee programs. No concession will be paid on Class A Shares sold on a load-waived basis to current or retired officers, directors and employees (and family members, as defined under the “Accumulation Privilege” section of the Prospectus) of the Fund, The Hartford, the sub-advisers to the Hartford Mutual Funds, the transfer agent, and their affiliates. CLASS C SHARES The compensation payable for sales of Class C Shares of all Funds is as follows:.
Appears in 1 contract
Fixed Income Funds. Hartford Schroders Emerging Markets Multi-Sector Bond Fund Hartford Schroders Sustainable Core Bond Securitized Income Fund Hartford Schroders Tax-Aware Bond Fund You may charge a commission or other transaction based fee on purchases and sales of Class F, I, Y, R6 and SDR shares of the Fund on your firm’s brokerage platform. To the extent such a fee is charged, you represent that you are acting solely as an agent for your customer with respect to their purchase or sale of such shares. Any such commission will be charged in a manner consistent with applicable FINRA rules. Purchases and sales of the Fund’s Class F, I, Y, R6 and SDR shares may only be executed as purchases or redemptions between the investor and the Fund. You shall not execute trades of such shares between investors. APPENDIX B (As as of September 21February 28, 20232020) Compensation CLASS A SHARES All Retail Mutual Funds other than Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund: Amount of Sale Sales Charge Dealer Concession Less than $50,000 5.50% 4.75% $50,000-$99,999 4.50% 4.00% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Muncipal Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Quality Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 4.50% 3.75% $50,000-$99,999 4.00% 3.50% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * The Hartford Floating Rate Fund and The Hartford Floating Rate High Income Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 3.00% 2.50% $50,000-$99,999 2.50% 2.00% $100,000-$249,999 2.25% 1.75% $250,000-$499,999 1.75% 1.25% $500,000-$999,999 1.25% 1.00% $1 million or more 0.00% * The Hartford Short Duration Fund pays the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $250,000 2.00% 1.50% $250,000-$499,999 1.50% 1.00% $500,000 or more 0.00% ** * No upfront sales charge on investments $1 million or more. However, there is a CDSC of 1% on any shares sold within 18 months of purchase with respect to each Retail Mutual Fund, except The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, and a CDSC of 0.75% with respect to The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund. With respect to all Retail Mutual Funds except The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Municipal Opportunities Fund, The Hartford Short Duration Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to The Hartford Floating Rate Securitized Income Fund, The Hartford Floating Rate High Strategic Income Fund, and The Hartford High Yield Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to Hartford Schroders Tax-Aware Bond Fund, The Hartford Total Return Bond Fund and The Hartford Municipal Opportunities World Bond Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 0.75% on first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. ** No upfront sales charge on investments $500,000 or more. However, there is a CDSC of 0.75% on any shares sold within 18 months of purchase. The Distributor may pay dealers of record commissions on purchases of $500,000 or more in an amount of up to 0.75% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. Rule 12b-1 Fee: 25 basis points beginning immediately for all Class A Shares, with the exception of purchases of $1,000,000 or more for the Retail Mutual Funds ($500,000 or more for The Hartford Short Duration Fund) where the dealer was paid a commission by HFD, in which case the 12b-1 Fee of 25 basis points will begin in the 13th month after purchase. No concession will be paid on Class A Shares sold on a load-waived basis to wrap fee programs. No concession will be paid on Class A Shares sold on a load-waived basis to current or retired officers, directors and employees (and family members, as defined under the “Accumulation Privilege” section of the Prospectus) of the Fund, The Hartford, the sub-advisers to the Hartford Mutual Funds, the transfer agent, and their affiliates. CLASS C SHARES The compensation payable for sales of Class C Shares of all Funds is as follows:
Appears in 1 contract
Fixed Income Funds. Hartford Schroders Emerging Markets Multi-Sector Bond Fund Hartford Schroders Sustainable Core Bond Securitized Income Fund Hartford Schroders Tax-Aware Bond Fund You may charge a commission or other transaction based fee on purchases and sales of Class F, I, Y, R6 and SDR shares of the Fund on your firm’s brokerage platform. To the extent such a fee is charged, you represent that you are acting solely as an agent for your customer with respect to their purchase or sale of such shares. Any such commission will be charged in a manner consistent with applicable FINRA rules. Purchases and sales of the Fund’s Class F, I, Y, R6 and SDR shares may only be executed as purchases or redemptions between the investor and the Fund. You shall not execute trades of such shares between investors. APPENDIX B (As of September 21July 1, 20232020) Compensation CLASS A SHARES All Retail Mutual Funds other than Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, Hartford Municipal Income Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Short Duration Fund, Hartford Schroders Securitized Income Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund. Hartford Schroders Tax-Aware Bond Fund, and Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund: Amount of Sale Sales Charge Dealer Concession Less than $50,000 5.50% 4.75% $50,000-$99,999 4.50% 4.00% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, Hartford Municipal Income Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets MultiTax-Sector Aware Bond Fund, and Hartford Schroders TaxEmerging Markets Multi-Aware Sector Bond Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 4.50% 3.75% $50,000-$99,999 4.00% 3.50% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * The Hartford Floating Rate Fund and The Hartford Floating Rate High Income Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 3.00% 2.50% $50,000-$99,999 2.50% 2.00% $100,000-$249,999 2.25% 1.75% $250,000-$499,999 1.75% 1.25% $500,000-$999,999 1.25% 1.00% $1 million or more 0.00% * The Hartford Short Duration Fund pays the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $250,000 2.00% 1.50% $250,000-$499,999 1.50% 1.00% $500,000 or more 0.00% ** * No upfront sales charge on investments $1 million or more. However, there is a CDSC of 1% on any shares sold within 18 months of purchase with respect to each Retail Mutual Fund, except The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, and a CDSC of 0.75% with respect to The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund. With respect to all Retail Mutual Funds except The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Municipal Opportunities Fund, The Hartford Short Duration Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, and The Hartford High Yield Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to Hartford Schroders Tax-Aware Bond Fund, The Hartford Total Return Bond Securitized Income Fund and The Hartford Municipal Opportunities Fund, pay the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 0.75% on first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. ** No upfront sales charge on investments $500,000 or more. However, there is a CDSC of 0.75% on any shares sold within 18 months of purchase. The Distributor may pay dealers of record commissions on purchases of $500,000 or more in an amount of up to 0.75% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. Rule 12b-1 Fee: 25 basis points beginning immediately for all Class A Shares, with the exception of purchases of $1,000,000 or more for the Retail Mutual Funds ($500,000 or more for The Hartford Short Duration Fund) where the dealer was paid a commission by HFD, in which case the 12b-1 Fee of 25 basis points will begin in the 13th month after purchase. No concession will be paid on Class A Shares sold on a load-waived basis to wrap fee programs. No concession will be paid on Class A Shares sold on a load-waived basis to current or retired officers, directors and employees (and family members, as defined under the “Accumulation Privilege” section of the Prospectus) of the Fund, The Hartford, the sub-advisers to the Hartford Mutual Funds, the transfer agent, and their affiliates. CLASS C SHARES The compensation payable for sales of Class C Shares of all Funds is as followsfollowing concessions:
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Samples: Selling Agreement (Hartford Schroders Opportunistic Income Fund)
Fixed Income Funds. Hartford Schroders Emerging Markets Multi-Sector Bond Fund Hartford Schroders Sustainable Core Bond Fund Hartford Schroders Tax-Aware Bond Fund You may charge a commission or other transaction based fee on purchases and sales of Class F, I, Y, R6 and SDR shares of the Fund on your firm’s brokerage platform. To the extent such a fee is charged, you represent that you are acting solely as an agent for your customer with respect to their purchase or sale of such shares. Any such commission will be charged in a manner consistent with applicable FINRA rules. Purchases and sales of the Fund’s Class F, I, Y, R6 and SDR shares may only be executed as purchases or redemptions between the investor and the Fund. You shall not execute trades of such shares between investors. APPENDIX B (As of September 21March 1, 2023) Compensation CLASS A SHARES All Retail Mutual Funds other than Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund: Amount of Sale Sales Charge Dealer Concession Less than $50,000 5.50% 4.75% $50,000-$99,999 4.50% 4.00% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond Fund, The Hartford Emerging Markets Local Debt Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, The Hartford Municipal Opportunities Fund, Hartford Municipal Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 4.50% 3.75% $50,000-$99,999 4.00% 3.50% $100,000-$249,999 3.50% 3.00% $250,000-$499,999 2.50% 2.00% $500,000-$999,999 2.00% 1.75% $1 million or more 0.00% * The Hartford Floating Rate Fund and The Hartford Floating Rate High Income Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 3.00% 2.50% $50,000-$99,999 2.50% 2.00% $100,000-$249,999 2.25% 1.75% $250,000-$499,999 1.75% 1.25% $500,000-$999,999 1.25% 1.00% $1 million or more 0.00% * The Hartford Short Duration Fund pays the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $250,000 2.00% 1.50% $250,000-$499,999 1.50% 1.00% $500,000 or more 0.00% ** * No upfront sales charge on investments $1 million or more. However, there is a CDSC of 1% on any shares sold within 18 months of purchase with respect to each Retail Mutual Fund, except The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, and a CDSC of 0.75% with respect to The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund. With respect to all Retail Mutual Funds except The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Municipal Opportunities Fund, The Hartford Short Duration Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, and The Hartford High Yield Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to Hartford Schroders Tax-Aware Bond Fund, The Hartford Total Return Bond Fund and The Hartford Municipal Opportunities Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 0.75% on first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. ** No upfront sales charge on investments $500,000 or more. However, there is a CDSC of 0.75% on any shares sold within 18 months of purchase. The Distributor may pay dealers of record commissions on purchases of $500,000 or more in an amount of up to 0.75% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. Rule 12b-1 Fee: 25 basis points beginning immediately for all Class A Shares, with the exception of purchases of $1,000,000 or more for the Retail Mutual Funds ($500,000 or more for The Hartford Short Duration Fund) where the dealer was paid a commission by HFD, in which case the 12b-1 Fee of 25 basis points will begin in the 13th month after purchase. No concession will be paid on Class A Shares sold on a load-waived basis to wrap fee programs. No concession will be paid on Class A Shares sold on a load-waived basis to current or retired officers, directors and employees (and family members, as defined under the “Accumulation Privilege” section of the Prospectus) of the Fund, The Hartford, the sub-advisers to the Hartford Mutual Funds, the transfer agent, and their affiliates. CLASS C SHARES The compensation payable for sales of Class C Shares of all Funds is as follows:
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Fixed Income Funds. Hartford Schroders Emerging Markets Multi-Sector Bond High Yield HLS Fund Hartford Schroders Sustainable Core Total Return Bond HLS Fund Hartford Schroders Tax-Aware Ultrashort Bond HLS Fund You may charge a commission or other transaction based fee on purchases and sales Hartford U.S. Government Securities HLS Fund APPENDIX C (as of Class FAugust 6, I, Y, R6 and SDR shares of the Fund on your firm’s brokerage platform. To the extent such a fee is charged, you represent that you are acting solely as an agent for your customer with respect to their purchase or sale of such shares. Any such commission will be charged in a manner consistent with applicable FINRA rules. Purchases and sales of the Fund’s Class F, I, Y, R6 and SDR shares may only be executed as purchases or redemptions between the investor and the Fund. You shall not execute trades of such shares between investors. APPENDIX B (As of September 21, 20232014) Compensation CLASS A SHARES All Retail Mutual Funds other than Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond FundDuration-Hedged Strategic Income, The Hartford Emerging Markets Local Debt Fund, The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, Hartford Multi-Asset Income Fund, Hartford Municipal Income Fund, The Hartford Municipal Opportunities Fund, The Hartford Municipal Real Return Fund, Hartford Muncipal Short Duration Fund, The Hartford Quality Bond Fund, The Hartford Short Duration Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford Unconstrained Bond Fund and The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund: Amount of Sale Sales Charge Dealer Concession Less than $50,000 5.505.50 % 4.754.75 % $50,000-$99,999 4.504.50 % 4.004.00 % $100,000-$249,999 3.503.50 % 3.003.00 % $250,000-$499,999 2.502.50 % 2.002.00 % $500,000-$999,999 2.002.00 % 1.751.75 % Over $1 million or more 0.000.00 % * Hartford AARP Balanced Retirement Fund, Hartford Dynamic Bond FundDuration-Hedged Strategic Income, The Hartford Emerging Markets Local Debt Fund, The Hartford High Yield Fund, The Hartford Inflation Plus Fund, Hartford Multi-Asset Income Fund, Hartford Municipal Income Fund, The Hartford Municipal Opportunities Fund, The Hartford Municipal Real Return Fund, Hartford Municipal Short Duration Fund, The Hartford Quality Bond Fund, The Hartford Strategic Income Fund, Hartford Sustainable Municipal Bond Fund, The Hartford Total Return Bond Fund, The Hartford Unconstrained Bond Fund and The Hartford World Bond Fund, Hartford Schroders Emerging Markets Multi-Sector Bond Fund, and Hartford Schroders Tax-Aware Bond Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 4.504.50 % 3.753.75 % $50,000-$99,999 4.004.00 % 3.503.50 % $100,000-$249,999 3.503.50 % 3.003.00 % $250,000-$499,999 2.502.50 % 2.002.00 % $500,000-$999,999 2.002.00 % 1.751.75 % Over $1 million or more 0.000.00 % * The Hartford Floating Rate Fund and The Hartford Floating Rate High Income Fund pay the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $50,000 3.003.00 % 2.502.50 % $50,000-$99,999 2.502.50 % 2.002.00 % $100,000-$249,999 2.252.25 % 1.751.75 % $250,000-$499,999 1.751.75 % 1.251.25 % $500,000-$999,999 1.251.25 % 1.001.00 % Over $1 million or more 0.000.00 % * The Hartford Short Duration Fund pays the following concessions: Amount of Sale Sales Charge Dealer Concession Less than $250,000 2.002.00 % 1.501.50 % $250,000-$499,999 1.501.50 % 1.001.00 % Over $500,000 or more 0.000.00 % ** * No upfront sales charge on investments over $1 million or moremillion. However, there is a CDSC of 1% on any shares sold within 18 months of purchase with respect to each Retail Mutual Fund, except purchase. The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, and a CDSC of 0.75% with respect to The Hartford Municipal Opportunities Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund. With respect to all Retail Mutual Funds except The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, The Hartford High Yield Fund, The Hartford Municipal Opportunities Fund, The Hartford Short Duration Fund, The Hartford Total Return Bond Fund, and Hartford Schroders Tax-Aware Bond Fund, the Distributor distributer may pay dealers of record commissions on purchases of over $1 million or more in an amount of up to the sum of 1% on the first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to The Hartford Floating Rate Fund, The Hartford Floating Rate High Income Fund, and The Hartford High Yield Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 1% on the first $4 million, 0.50% of the next $6 million, and 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. With respect to Hartford Schroders Tax-Aware Bond Fund, The Hartford Total Return Bond Fund and The Hartford Municipal Opportunities Fund, the Distributor may pay dealers of record commissions on purchases of $1 million or more in an amount of up to 0.75% on first $10 million, 0.50% of the next $30 million, and 0.25% of share purchases over $40 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. ** No upfront sales charge on investments over $500,000 or more500,000. However, there is a CDSC of 0.751% on any shares sold within 18 months of purchase. The Distributor distributer may pay dealers of record commissions on purchases of over $500,000 or more in an amount of up to 0.75the sum of 1% on the first $4 million, plus 0.50% of the on next $6 million, and plus 0.25% of share purchases over $10 million. Commissions are based on cumulative investments over the life of the account with no adjustment for redemptions, transfers, or market declines. Rule 12b-1 Fee: 25 basis points beginning immediately for all Class A Shares, with the exception of purchases of $1,000,000 or more for the Retail Mutual Funds ($500,000 or more for The Hartford Short Duration Fund) where the dealer was paid a commission by HFD, in which case the 12b-1 Fee of 25 basis points will begin in the 13th month after purchase. No concession will be paid on Class A Shares sold on a load-waived basis to wrap fee programs. No concession will be paid on Class A Shares sold on a load-waived basis to current or retired officers, directors and employees (and family memberstheir families, as defined under the “Accumulation Privilege” section of the Prospectus) of the Fund, The Hartford, the sub-advisers to the Hartford Mutual Funds, the transfer agent, and their affiliates. CLASS C SHARES The compensation payable for sales of Class C Shares of all Funds is as follows:.
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