INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • December 11th, 2023 • 1290 Funds • New York
INVESTMENT SUB-ADVISORY AGREEMENT, dated as of November 29, 2023 by and between Equitable Investment Management, LLC, a limited liability company organized in the State of Delaware (“Adviser”), and American Century Investment Management, Inc., a corporation organized under the laws of Delaware (the “Sub-Adviser”).
Third Amended and Restated Agreement and Declaration of Trust of 1290 Funds a Delaware Statutory Trust Principal Place of Business: 1290 Avenue of the Americas, New York, New York 101041290 Funds • December 12th, 2022 • Delaware
THIS THIRD AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST of 1290 Funds is made as of the date set forth below by the Trustees named hereunder for the purpose of continuing a Delaware statutory trust in accordance with the provisions hereinafter set forth.
Amended and Restated Agreement and Declaration of Trust of 1290 Funds a Delaware Statutory Trust Principal Place of Business:Agreement and Declaration • June 27th, 2014 • 1290 Funds • Delaware
WHEREAS, the Trust has been formed as a Delaware statutory trust under the Delaware Act simultaneously upon the execution of a declaration of trust and the filing of the Certificate of Trust in the Office of the Secretary of State of the State of Delaware; and
TRANSFER AGENCY AND SERVICE AGREEMENTTransfer Agency and Service Agreement • November 4th, 2014 • 1290 Funds • Massachusetts
THIS AGREEMENT made as of the 29th day of October 2014, by and between each of the entities individually and not jointly, as listed on Schedule A, having their principal office and place of business at 1290 Avenue of the Americas, New York, New York 10104 (collectively, the “Funds” and individually, the “Fund”) and BOSTON FINANCIAL DATA SERVICES, INC., a Massachusetts corporation having its principal office and place of business at 2000 Crown Colony Drive, Quincy, Massachusetts 02169-0953 (the “Transfer Agent”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • June 30th, 2015 • 1290 Funds • New York
AGREEMENT, dated as of July 1, 2015, by and between AXA Equitable Funds Management Group, LLC (doing business as “1290 Asset Managers”), a limited liability corporation organized in the State of Delaware (the “Adviser”), and TCW Investment Management Company (“TCW”), a California corporation (“Sub-Adviser”).
MUTUAL FUNDS SERVICE AGREEMENTMutual Funds Service Agreement • November 4th, 2014 • 1290 Funds • New York
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • June 30th, 2015 • 1290 Funds • New York
AGREEMENT, dated as of July 1, 2015, by and between AXA Equitable Funds Management Group, LLC (doing business as “1290 Asset Managers”), a limited liability corporation organized in the State of Delaware (the “Adviser”), and Templeton Investment Counsel, LLC, a Delaware Limited Liability Company (“Sub-Adviser”).
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 23rd, 2023 • 1290 Funds • Delaware
INVESTMENT ADVISORY AGREEMENT (“AGREEMENT”), dated as of January 1, 2023 between 1290 Funds, a Delaware statutory trust (“Trust”), and Equitable Investment Management, LLC, a limited liability company organized in the State of Delaware (“Adviser”).
FORM OF INVESTMENT SUB-ADVISORY AGREEMENTSub-Advisory Agreement • June 27th, 2014 • 1290 Funds • New York
AGREEMENT, effective as of [ ], 2014 by and between AXA Equitable Funds Management Group, LLC (doing business as 1290 Asset Managers), a limited liability company organized in the State of Delaware (the “Adviser”), and AXA Rosenberg Investment Management LLC (“AXA Rosenberg” or “Sub-Adviser”), a limited liability company organized under the laws of the State of Delaware.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • November 4th, 2014 • 1290 Funds • Delaware
INVESTMENT ADVISORY AGREEMENT (“AGREEMENT”), dated as of September 1, 2014, between 1290 Funds, a Delaware statutory trust (“Trust”), and AXA Equitable Funds Management Group, LLC, a limited liability company organized in the State of Delaware, doing business as “1290 Asset Managers” (“Adviser”).
MUTUAL FUNDS SERVICE AGREEMENT TRUST ADMINISTRATION AND COMPLIANCE SERVICES TRUST ACCOUNTING SERVICES EQUITABLE INVESTMENT MANAGEMENT GROUP, LLC JULY 31, 2020Mutual Funds Service Agreement • February 25th, 2021 • 1290 Funds • New York
1290 FUNDS MUTUAL FUNDS SERVICE AGREEMENT TRUST ADMINISTRATION AND COMPLIANCE SERVICES TRUST ACCOUNTING SERVICES EQUITABLE INVESTMENT MANAGEMENT, LLC JANUARY 1, 2023Mutual Funds Service Agreement • February 23rd, 2023 • 1290 Funds • New York
AGREEMENT made as of January 1, 2023 by and among 1290 Funds, a Delaware statutory trust (the “Trust”), Equitable Investment Management, LLC (“Administrator”), a limited liability company organized in the State of Delaware, Equitable Financial Investment Management, LLC (formerly, Equitable Investment Management, LLC) (“EFIM”), a limited liability company organized in the State of Delaware, and Equitable Investment Management Group, LLC (“EIMG”), a limited liability company organized in the State of Delaware.
Agreement and Declaration of Trust of 1290 Funds Trust a Delaware Statutory Trust Principal Place of Business:Agreement and Declaration of Trust • June 27th, 2014 • 1290 Funds • Delaware
THIS AGREEMENT AND DECLARATION OF TRUST is made as of March 1, 2013 for the purpose of forming a Delaware statutory trust in accordance with the provisions hereinafter set forth.
FORM OF TRANSFER AGENCY AND SERVICE AGREEMENTAgency and Service Agreement • August 5th, 2014 • 1290 Funds • Massachusetts
THIS AGREEMENT made as of the day of 2014, by and between each of the entities individually and not jointly, as listed on Schedule A, having their principal office and place of business at 1290 Avenue of the Americas, New York, New Y ork 10104 (collectively, the “Funds” and individually, the “Fund”) and BOSTON FINANCIAL DATA SERVICES, INC., a Massachusetts corporation having its principal office and place of business at 2000 Crown Colony Drive, Quincy, Massachusetts 02169-0953 (the “Transfer Agent”).
Global Custody Agreement – New York – General – May 2012Global Custody Agreement • August 5th, 2014 • 1290 Funds • New York
This Agreement, dated , 2014, is between JPMORGAN CHASE BANK, NATIONAL ASSOCIATION (“J.P. Morgan”), with a place of business at ; and 1290 FUNDS TRUST (the “Trust”), ACTING SOLELY WITH RESPECT TO EACH OF ITS SERIES LISTED ON EXHIBIT A HERETO, severally and not jointly (each such series, a “Customer”) with a place of business at 1290 Avenue of the Americas, New York, New York 10104.
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • February 25th, 2021 • 1290 Funds • New York
INVESTMENT SUB-ADVISORY AGREEMENT, dated as of July 16, 2020, by and between Equitable Investment Management Group, LLC, a limited liability company organized in the State of Delaware (“Adviser”), DoubleLine Capital LP, a limited partnership organized in the State of Delaware (“DL Capital”), and DoubleLine Equity LP, a limited partnership organized in the State of Delaware (“DL Equity” and together with DL Capital, each a “Sub-Adviser” and collectively, the “Sub-Advisers”).
AMENDMENT NO. 3 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 3, dated October 13, 2023 (“Amendment No. 3”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and The Bank of New York Mellon (“BNY Mellon”), solely in its capacity as Trustee and on behalf of the SPDR S&P MidCap 400 ETF Trust.
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and The Bank of New York Mellon (“BNY Mellon”), solely in its capacity as Trustee and on behalf of the SPDR S&P MidCap 400 ETF Trust.
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFunds Investment Agreement • February 23rd, 2023 • 1290 Funds
THIS AGREEMENT, dated as of January 1, 2023, is made between EQ Advisors Trust, on behalf of itself and its separate series listed on Schedule A, severally and not jointly (each, an “Investing Fund”), and the 1290 Funds, on behalf of itself and its separate series also listed on Schedule A, severally and not jointly (each, an “Acquired Fund” and, together with the Investing Funds, the “Funds”).
AMENDMENT NO. 2 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 2, dated March 16, 2023 (“Amendment No. 2”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and The Bank of New York Mellon (“BNY Mellon”), solely in its capacity as Trustee and on behalf of the SPDR S&P MidCap 400 ETF Trust.
AMENDMENT NO. 2 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 2, dated May 3, 2023 (“Amendment No. 2”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and SPDR Series Trust, SPDR Index Shares Funds and SSGA Active Trust (“SPDR Trusts”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust, 1290 Funds, BlackRock ETF Trust, BlackRock ETF Trust II, iShares Trust, iShares, Inc. and iShares U.S. ETF Trust (“Registrants”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 28, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), by and between EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and ProShares Trust (“ProShares”).
AMENDMENT NO. 3 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 3, dated October 13, 2023 (“Amendment No. 3”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), between 1290 Funds and EQ Advisors Trust (“EQ Trusts”) and AB Cap Fund, Inc. (“AB Cap”).
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • February 25th, 2021 • 1290 Funds
EXPENSE LIMITATION AGREEMENT, effective as of July 16, 2020 by and between Equitable Investment Management Group, LLC (the “Adviser”) and 1290 Funds (the “Trust”), on behalf of each series of the Trust set forth in Schedule A attached hereto (each, a “Fund”, and collectively, the “Funds”).
AMENDMENT NO. 2 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 2, dated March 16, 2023 (“Amendment No. 2”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), by and between EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and ProShares Trust (“ProShares”).
AMENDMENT NO. 2 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 2, dated March 16, 2023 (“Amendment No. 2”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), between 1290 Funds and EQ Advisors Trust (“EQ Trusts”) and AB Cap Fund, Inc. (“AB Cap”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), between 1290 Funds and EQ Advisors Trust (“EQ Trusts”) and AB Cap Fund, Inc. (“AB Cap”).
AMENDMENT NO. 2 EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • July 8th, 2022 • 1290 Funds
Amendment No. 2, effective March 1, 2022 (“Amendment No. 2”) to the Expense Limitation Agreement dated August 1, 2021 (the “Agreement”), between Equitable Investment Management Group, LLC (the “Adviser”), Equitable Investment Management, LLC (“the Administrator”) and 1290 Funds (the “Trust”), on behalf of each series of the Trust set forth in Schedule A attached hereto (each, a “Fund,” and collectively, the “Funds”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and WisdomTree Trust.
AMENDMENT NO. 3 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 3, dated October 13, 2023 (“Amendment No. 3”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds, on behalf of each of their series listed in Schedule A (each, an “Acquiring Fund”) and Invesco Exchange-Traded Fund Trust, Invesco Exchange-Traded Fund Trust II, Invesco India Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Commodity Fund Trust and Invesco Exchange-Traded Self-Indexed Fund Trust, on behalf of each of their series (except such series listed on Schedule B, as may be amended from time to time) severally and not jointly (each an “Acquired Fund” and together with the “Acquiring Funds”, the “Funds”).
INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • June 30th, 2015 • 1290 Funds • New York
AGREEMENT, effective as of July 1, 2015 by and between AXA Equitable Funds Management Group, LLC (doing business as “1290 Asset Managers”), a limited liability corporation organized in the State of Delaware (the “Adviser”), and Palisade Capital Management L.L.C. (“Palisade Capital” or “Sub-Adviser”), a limited liability company organized under the laws of the State of New Jersey.
AMENDMENT NO. 2 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 2, dated May 3, 2023 (“Amendment No. 2”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and The Select Sector SPDR Trust (“SPDR Trust”).
DISTRIBUTION AGREEMENTDistribution Agreement • November 4th, 2014 • 1290 Funds • Delaware
THIS AGREEMENT is made as of October 28, 2014, between 1290 Funds, a Delaware statutory trust (the “Trust”), and ALPS Distributors, Inc., a Colorado corporation (“ALPS”).
AMENDMENT NO. 2 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Amendment No. 2, dated May 3, 2023 (“Amendment No. 2”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and SPDR S&P 500 ETF Trust and SPDR Dow Jones Industrial Average ETF Trust (“SPDR Trusts”).
