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”).
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 Templeton Investment Counsel, LLC, a Delaware Limited Liability Company (“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 10104Agreement and Declaration of Trust • December 12th, 2022 • 1290 Funds • 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.
MUTUAL FUNDS SERVICE AGREEMENTMutual Funds Service Agreement • November 4th, 2014 • 1290 Funds • New York
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”).
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.
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”).
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
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”).
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.
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. 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 AGREEMENTFund of Funds 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”).
FORM OF AMENDMENT NO. 4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Form of Amendment No. 4, dated November 30, 2023 (“Amendment No. 4”), 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”).
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”).
LITMAN GREGORY FUNDS TRUST FUND OF FUNDS INVESTMENT AGREEMENT RULE 12d1-4Investment Agreement • February 23rd, 2023 • 1290 Funds
This Agreement, dated as of February 8, 2023, among EQ Advisors Trust and 1290 Funds on behalf of each of their respective existing and future series that invests in an Acquired Fund in reliance on the Rule as such terms are defined below, severally and not jointly, (each, an “Acquiring Fund”), and each investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”), each a series of the Litman Gregory Funds Trust (the “Trust” and, together with EQ Advisors Trust and 1290 Funds, the “Parties”), severally and not jointly (each, an “Acquired Fund” and together with each Acquiring Fund, the “Funds”).
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.
FORM OF AMENDMENT NO. 4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • December 11th, 2023 • 1290 Funds
Form of Amendment No. 4, dated November 30, 2023 (“Amendment No. 4”), 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”).
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”).
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”).
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”).
AMENDMENT NO. 4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 22nd, 2024 • 1290 Funds
Amendment No. 4, effective December 20, 2023 (“Amendment No. 4”), 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”).
AMENDMENT No. 5 To Transfer Agency and Service Agreement Between Each of the Entities, Individually and not Jointly, as Listed on Schedule A And Boston Financial Data Services, Inc.Transfer Agency and Service Agreement • February 27th, 2017 • 1290 Funds
This Amendment is entered into as of this 27th day of February, 2017, between Boston Financial Data Services, Inc. (the “Transfer Agent”) and Each of the Entities, Individually and not Jointly, as listed on Schedule A (collectively, the “Funds” and individually, the “Fund”). In accordance with Section 16.1 (Amendment) and Section 17 (Additional Portfolios/Funds) of the Transfer Agency and Service Agreement between the parties dated October 29, 2014, as amended (the “Agreement”), the parties desire to amend the Agreement as set forth herein.
