SIXTH AMENDMENT TO SELLING AND SERVICES AGREEMENT AND FUND PARTICIPATION AGREEMENT
Exhibit 24(b)(8.166): Sixth Amendment to Selling and Services Agreement and Fund Participation Agreement dated November 1, 2018, by and among Voya Retirement Insurance and Annuity Company, Voya Institutional Plan Services, LLC, Voya Financial Partners, LLC, Hartford Administrative Services Company, Hartford Funds Distributors, LLC and Hartford Funds Management Company, LLC
SIXTH AMENDMENT TO
SELLING AND SERVICES AGREEMENT AND FUND PARTICIPATION AGREEMENT
This Sixth Amendment dated November 1, 2018 is by and among Voya Retirement Insurance and Annuity Company (“Voya Retirement”), Voya Financial Partners, LLC (“Voya Financial”), Voya Institutional Plan Services, LLC (“Voya Institutional”) (collectively “VOYA” or the “Company”), Hartford Administrative Services Company (“HASCO” or the “Transfer Agent”), Hartford Funds Distributors, LLC (“HFD”) and Hartford Funds Management Company, LLC (“HFMC”) (HASCO, HFD and HFMC are collectively referred to herein as “Fund Agent”). Unless otherwise specified, all capitalized terms contained in this Agreement and in the schedules attached hereto and made a part hereof shall have the meanings ascribed to such terms in this Agreement.
WITNESSETH:
WHEREAS, VOYA and Fund Agent are parties to a certain Selling and Services Agreement and Fund Participation Agreement dated September 2, 2008, as amended (the “Agreement); and
WHEREAS, pursuant to Section 18 of the Agreement, VOYA and Fund Agent desire to amend the Agreement to replace Exhibit A thereto; and
NOW, THEREFORE, in consideration of the premises and mutual covenants contained herein and for other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties, intending to be legally bound, agree as follows:
- Exhibit A is deleted in its entirety and replaced by the revised Exhibit A attached hereto.
2. Exhibit A-1 is hereby added to the Agreement to apply to new retirement plan business as of April 1, 2019. Exhibit A to the Agreement remains in effect to cover retirement plan business in place prior to April 1, 2019. References in the Agreement to "Exhibit A" shall be deemed to be references to "Exhibit A-1" for all new plan business on or after April 1, 2019.
Except as specifically modified by this Amendment, the Agreement shall remain in full force and effect and all capitalized terms not defined in this Amendment shall have the same meaning as in the Agreement.
Executed original copies of this Amendment may be delivered by facsimile or digital transmission and such facsimile or digital copies shall be deemed original for all purposes.
Next page is signature page.
204161292_5 LAW 1
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed on their behalf by their duly authorized officers as of the day and year first above written.
HARTFORD ADMINISTRATIVE SERVICES COMPANY
By: /s/ Xxxxxxx Xxxxx |
Name: Xxxxxxx Xxxxx |
Title: Chief Financial Officer |
HARTFORD FUNDS DISTRIBUTORS, LLC
By: /s/ Xxxxxxx Xxxxx |
Name: Xxxxxxx Xxxxx |
Title: Chief Financial Officer |
HARTFORD FUNDS MANAGEMENT COMPANY, LLC
By: /s/ Xxxxxxx Xxxxx |
Name: Xxxxxxx Xxxxx |
Title: Chief Financial Officer |
204161292_5 LAW 2
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY |
|
By: /s/ Xxxxx Xxxxxxx |
Name: Xxxxx Xxxxxxx |
Title: Vice President |
|
VOYA INSTITUTIONAL PLAN SERVICES, LLC |
|
By: /s/ Xxxxx Xxxxxxx |
Name: Xxxxx Xxxxxxx |
Title: Vice President |
|
VOYA FINANCIAL PARTNERS, LLC |
|
By: /s/ Xxxxx Xxxxxxx |
Name: Xxxxx Xxxxxxx |
Title: Vice President |
|
EXHIBIT A
Section 1
All current and future funds available for sale through the distribution channel, including but not limited to any funds listed below.
|
CLASS Y SHARES |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
CLASS R6 SHARES |
|||||
FUND NAME |
||||||||||
|
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
|
SYMBOL |
SYMBOL |
SYMBOL |
SYMBOL |
SYMBOL |
|||||
The Hartford Balanced Fund |
IHAYX |
416645786 |
ITTRX |
416649630 |
ITTSX |
416649333 |
XXXXX |
00000X000 |
ITTVX |
00000X000 |
The Hartford Balanced Income Fund |
HBLYX |
416648210 |
HBLRX |
00000X000 |
HBLSX |
00000X000 |
HBLTX |
00000X000 |
HBLVX |
00000X000 |
The Hartford Capital Appreciation Fund |
HCAYX |
416645604 |
ITHRX |
416649655 |
ITHSX |
416649358 |
ITHTX |
00000X000 |
ITHVX |
00000X000 |
The Hartford Checks and Balances Fund |
N/A |
N/A |
HCKRX |
00000X000 |
HCKSX |
00000X000 |
HCKTX |
00000X000 |
N/A |
N/A |
The Hartford Conservative Allocation Fund |
N/A |
N/A |
HCVRX |
416649739 |
HCVSX |
416649432 |
HCVTX |
416649135 |
N/A |
N/A |
Hartford Core Equity Fund |
HGIYX |
416645653 |
HGIRX |
416649564 |
HGISX |
416649267 |
HGITX |
00000X000 |
HAITX |
00000X000 |
The Hartford Dividend & Growth Fund |
HDGYX |
416645828 |
HDGRX |
416649580 |
HDGSX |
416649283 |
HDGTX |
00000X000 |
HDGVX |
00000X000 |
The Hartford Emerging Markets Local Debt Fund |
HLDYX |
00000X000 |
HLDRX |
00000X000 |
HLDSX |
00000X000 |
HLDTX |
00000X000 |
N/A |
N/A |
Hartford Emerging Markets Equity Fund |
HERYX |
00000X000 |
HERRX |
00000X000 |
HERSX |
00000X000 |
HERTX |
00000X000 |
HERVX |
00000X000 |
Hartford Environmental Opportunities Fund |
HEOYX |
00000X000 |
HEORX |
00000X000 |
HEOSX |
00000X000 |
HEOTX |
00000X000 |
HEOVX |
00000X000 |
The Hartford Equity Income Fund |
HQIYX |
416648855 |
HQIRX |
416649663 |
HQISX |
416649366 |
HQITX |
00000X000 |
HQIVX |
00000X000 |
The Hartford Floating Rate Fund |
HFLYX |
416648525 |
HFLRX |
416649531 |
HFLSX |
416649234 |
HFLTX |
00000X000 |
N/A |
N/A |
The Hartford Floating Rate High Income Fund |
HFHYX |
00000X000 |
HFHRX |
00000X000 |
HFHSX |
00000X000 |
HFHTX |
00000X000 |
N/A |
N/A |
The Hartford Global All-Asset Fund |
HLAYX |
00000X000 |
HLARX |
00000X000 |
HLASX |
00000X000 |
HLATX |
00000X000 |
HLAUX |
00000X000 |
Hartford Global Impact Fund |
HGXYX |
00000X000 |
HGXRX |
00000X000 |
HGXSX |
00000X000 |
HGXTX |
00000X000 |
HGXVX |
00000X000 |
The Hartford Global Real Asset Fund |
HRLYX |
00000X000 |
HRLRX |
00000X000 |
HRLSX |
00000X000 |
HRLTX |
00000X000 |
N/A |
N/A |
The Hartford Growth Allocation Fund |
N/A |
N/A |
HRARX |
416649754 |
HRASX |
416649457 |
HRATX |
416649150 |
N/A |
N/A |
204161292_5 LAW 4
EXHIBIT A
Section 1
|
CLASS Y SHARES |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
CLASS R6 SHARES |
|||||
FUND NAME |
||||||||||
|
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
|
SYMBOL |
SYMBOL |
SYMBOL |
SYMBOL |
SYMBOL |
|||||
The Hartford Growth Opportunities Fund |
HGOYX |
416529816 |
HGORX |
416641603 |
HGOSX |
416641876 |
HGOTX |
416641835 |
HGOVX |
416641785 |
The Hartford Healthcare Fund |
HGHYX |
416645364 |
HGHRX |
416649671 |
HGHSX |
416649374 |
HGHTX |
00000X000 |
N/A |
N/A |
The Hartford High Yield Fund |
HAHYX |
416645455 |
HAHRX |
416649648 |
HAHSX |
416649341 |
HAHTX |
00000X000 |
N/A |
N/A |
The Hartford Inflation Plus Fund |
HIPYX |
416648830 |
HIPRX |
416649598 |
HIPSX |
416649291 |
HIPTX |
00000X000 |
N/A |
N/A |
Hartford International Equity Fund |
HDVYX |
00000X000 |
HDVRX |
00000X000 |
HDVSX |
00000X000 |
HDVTX |
00000X000 |
HDVVX |
00000X000 |
The Hartford International Growth Fund |
HNCYX |
416646800 |
HNCRX |
416649689 |
HNCSX |
416649382 |
HNCTX |
00000X000 |
HNCUX |
00000X000 |
The Hartford International Opportunities Fund |
HAOYX |
416645885 |
IHORX |
416649549 |
IHOSX |
416649242 |
IHOTX |
00000X000 |
IHOVX |
00000X000 |
The Hartford International Small Company Fund |
HNSYX |
416646883 |
HNSRX |
00000X000 |
HNSSX |
00000X000 |
HNSTX |
00000X000 |
N/A |
N/A |
The Hartford International Value Fund |
HILYX |
00000X000 |
HILRX |
00000X000 |
HILSX |
00000X000 |
HILTX |
00000X000 |
N/A |
N/A |
Hartford Long/Short Global Equity Fund |
HLOYX |
00000X000 |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
N/A |
The Hartford MidCap Fund |
HMDYX |
416645687 |
HFMRX |
00000X000 |
HFMSX |
00000X000 |
HFMTX |
00000X000 |
HFMVX |
00000X000 |
The Hartford MidCap Value Fund |
HMVYX |
416646875 |
HMVRX |
00000X000 |
HMVSX |
00000X000 |
HMVTX |
00000X000 |
N/A |
N/A |
Hartford Moderate Allocation Fund |
N/A |
N/A |
HBARX |
416649747 |
HBASX |
416649440 |
HBATX |
416649143 |
N/A |
N/A |
The Hartford Municipal Opportunities Fund |
HHMYX |
00000X000 |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
N/A |
Hartford Multi Asset Income Fund |
HAFYX |
00000X000 |
HAFRX |
00000X000 |
HAFSX |
00000X000 |
HAFTX |
00000X000 |
N/A |
N/A |
The Hartford Quality Bond Fund |
HQBYX |
00000X000 |
HQBRX |
00000X000 |
HQBSX |
00000X000 |
HQBTX |
00000X000 |
N/A |
N/A |
Hartford Quality Value Fund |
HVOYX |
416529717 |
HVORX |
416641801 |
HVOSX |
416641850 |
HVOTX |
416641819 |
HVOVX |
00000X000 |
The Hartford Short Duration Fund |
HSDYX |
416648822 |
HSDRX |
00000X000 |
HSDSX |
00000X000 |
HSDTX |
00000X000 |
N/A |
N/A |
The Hartford Small Company Fund |
HSCYX |
416645307 |
IHSRX |
416649697 |
IHSSX |
416649390 |
IHSUX |
00000X000 |
IHSVX |
00000X000 |
The Hartford SmallCap Growth Fund |
HSLYX |
416529808 |
HSLRX |
416641702 |
HSLSX |
416641868 |
HSLTX |
416641827 |
HSLVX |
41164R259 |
204161292_5 LAW 5
EXHIBIT A
Section 1
|
CLASS Y SHARES |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
CLASS R6 SHARES |
|||||
FUND NAME |
||||||||||
|
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
TICKER |
CUSIP |
|
SYMBOL |
SYMBOL |
SYMBOL |
SYMBOL |
SYMBOL |
|||||
Hartford Small Cap Value Fund |
HSMYX |
416648616 |
HSMRX |
00000X000 |
HSMSX |
00000X000 |
HSMTX |
00000X000 |
HSMVX |
00000X000 |
The Hartford Strategic Income Fund |
HSNYX |
00000X000 |
HSNRX |
00000X000 |
HSNSX |
00000X000 |
HSNTX |
00000X000 |
HSNVX |
00000X000 |
The Hartford Total Return Bond Fund |
HABYX |
416645752 |
ITBRX |
416649556 |
ITBUX |
416649259 |
ITBTX |
00000X000 |
ITBVX |
00000X000 |
The Hartford World Bond Fund |
HWDYX |
00000X000 |
HWDRX |
00000X000 |
HWDSX |
00000X000 |
HWDTX |
00000X000 |
XXXXX |
00000X000 |
Xxxxxxxx Schroders Emerging Markets Equity Fund |
HHHYX |
00000X000 |
HHHRX |
00000X000 |
HHHSX |
00000X000 |
HHHTX |
00000X000 |
N/A |
N/A |
Hartford Schroders Emerging Markets Multi-Sector Bond Fund |
HFZYX |
00000X000 |
HFZRX |
00000X000 |
HFZSX |
00000X000 |
HFZTX |
00000X000 |
N/A |
N/A |
Hartford Schroders Global Strategic Bond Fund |
HSBYX |
00000X000 |
HSBRX |
00000X000 |
HSBSX |
00000X000 |
HSBTX |
00000X000 |
N/A |
N/A |
Hartford Schroders International Multi-Cap Value Fund |
HFYYX |
00000X000 |
HFYRX |
00000X000 |
HFYSX |
00000X000 |
HFYTX |
00000X000 |
N/A |
N/A |
Hartford Schroders International Stock Fund |
HSWYX |
00000X000 |
HSWRX |
00000X000 |
HSWSX |
00000X000 |
HSWTX |
00000X000 |
N/A |
N/A |
Hartford Schroders Tax-Aware Bond Fund |
HFKYX |
00000X000 |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
N/A |
Hartford Schroders US Small Cap Xxxxxxxxxxxxx Xxxx |
XXXXX |
00000X000 |
XXXXX |
00000X000 |
HOOSX |
00000X000 |
HOOTX |
00000X000 |
N/A |
N/A |
Hartford Schroders US Small/Mid Cap Opportunities Fund |
HFDYX |
00000X000 |
HFDRX |
00000X000 |
HFDSX |
00000X000 |
HFDTX |
00000X000 |
N/A |
N/A |
|
CLASS SDR SHARES |
|
FUND NAME |
||
|
TICKER SYMBOL |
CUSIP |
Hartford Schroders Emerging Markets Equity Fund |
SEMTX |
00000X000 |
Hartford Schroders Global Strategic Bond Fund |
SGBJX |
00000X000 |
Hartford Schroders International Multi-Cap Value Fund |
SIDRX |
00000X000 |
204161292_5 LAW 6
EXHIBIT A
Section 1
|
CLASS SDR SHARES |
|
FUND NAME |
||
|
TICKER SYMBOL |
CUSIP |
Hartford Schroders International Stock Fund |
SCIJX |
00000X000 |
Hartford Schroders Emerging Markets Multi-Sector Bond Fund |
SMSRX |
00000X000 |
Hartford Schroders Tax-Aware Bond Fund |
HFKVX |
00000X000 |
Hartford Schroders US Small Cap Opportunities Fund |
SCURX |
00000X000 |
Hartford Schroders US Small/Mid Cap Opportunities Fund |
SMDRX |
00000X000 |
204161292_5 LAW 7
EXHIBIT A
Section 2
COMPENSATION
(a) Class R Share Fees: The Fees paid with respect to Class R shares of a Fund, as applicable, shall be a Service Fee, a Sub TA Fee and an Other Fee, if applicable. The Sub TA Fee payable with respect to Class R shares for services provided by Voya shall be paid by Transfer Agent or an affiliate out of assets received from the Fund for recordkeeping and/or administrative services as set forth in Section 3 of the Agreement (i.e., establishment and maintenance of Plan and Participant records related to Instructions and processing Instructions from Contract owners, Plan Representatives and/or Participants), transmission of reports and other written materials from the Funds to Contract owners, Plan Representatives and/or Participants and other related administrative services. The Service Fee shall be paid by the pertinent Fund’s distributor or underwriter for distribution-related services related to activities primarily intended to result in selection by a Contract owner or Plan Representative of one or more Funds for inclusion as an option under a Plan or investment in one or more Funds by a Plan Representative or a Participant (e.g., marketing services). Sub TA Fees with respect to Class R shares of a Fund are not paid pursuant to a 12b-1 plan. The Service Fee may be paid in accordance with the Fund’s 12b-1 plan, if applicable. The parties agree that in the event that a broker-dealer of record is registered to an Account, the distribution related portion of the Service Fee shall be paid to such broker-dealer pursuant to a separate Selling Agreement and shall not be paid to Voya. Any Other Fees payable in respect of Class R shares for supplemental recordkeeping and/or administrative services provided to Contract owners, Plans or Participants shall be paid by HFMC out of its own resources and not as an expense to or out of the assets of the Funds and may be paid as additional compensation for supplemental administrative services to Contract owners or Participants and/or supplemental distribution-related services provided to Contract owners, Plans or Participants. Other Fees paid with respect to Class R shares of a Fund are not paid pursuant to a 12b-1 Plan. The parties agree that in the event a Fund’s 12b-1 plan is either modified or discontinued by a Fund, the Fund’s (or a Fund affiliate) obligation to pay any part of a Fee that is paid pursuant to a 12b-1 Plan will automatically terminate (provided that the Voya shall be entitled to any Fees earned for the period in which such termination occurs, on a pro rata basis).
(b) Class Y Share Fees: The first ___ (x) basis points* of Fees paid with respect to Class Y shares of a Fund shall be a Sub TA Fee. Any Sub TA Fees payable with respect to Class Y shares for services provided by Voya shall be paid by Transfer Agent or an affiliate out of assets received from the Fund for recordkeeping and/or administrative Services (i.e., establishment and maintenance of Plan and Participant records related to Instructions and processing Instructions from Contract owners, Plan Representatives and/or Participants), transmission of reports and other written materials from the Funds to Contract owners, Plan Representatives and/or Participants and other related administrative services. Sub-TA Fees paid with respect to Class Y shares of a Fund are not paid pursuant to a 12b-1 Plan. Any amount paid in excess of ___ (x) basis points* shall be an Other Fee. Any Other Fee shall be paid by HFMC out of its own resources and not as an expense to or out of the assets of the Funds and may be paid as additional compensation for supplemental recordkeeping and/or administrative services to Contract owners or Participants and/or supplemental distribution-related services provided to Contract owners, Plans or Participants. Other Fees paid with respect to Class Y shares of a Fund are not paid pursuant to a 12b-1 Plan.
*In certain cases as approved by a Fund’s Board of Directors, this may be “__ (xx) basis points”.
204161292_5 LAW 8
EXHIBIT A
Section 2
Amendment effective May 1, 2019. Effective on May 1, 2019, the following paragraph (b) disclosure replaces the paragraph (b) above:
(b) Class Y Share Fees: The Fees paid with respect to Class Y shares of a Fund shall be a Sub TA Fee and an Other Fee, if applicable. The Sub TA Fee payable with respect to Class Y shares for services provided by Voya shall be paid by Transfer Agent or an affiliate out of assets received from the Fund for recordkeeping and/or administrative Services (i.e., establishment and maintenance of Contract owners, Plan and Participant records related to Instructions and processing Instructions from Contract owners, Plan Representatives and/or Participants), transmission of reports and other written materials from the Funds to Contract owners, Plan Representatives and/or Participants and other related administrative services. Sub TA Fees paid with respect to Class Y shares of a Fund are not paid pursuant to a 12b-1 Plan. Any amount paid in excess of ___ (xx) basis points shall be an Other Fee. Any Other Fee shall be paid by HFMC out of its own resources and not as an expense to or out of the assets of the Funds and may be paid as additional compensation for supplemental recordkeeping and/or administrative services to Contract owners or Participants and/or supplemental distribution-related services provided to Contract owners, Plans or Participants. Other Fees paid with respect to Class Y shares of a Fund are not paid pursuant to a 12b-1 Plan.
(c) The average aggregate amount invested in the Funds through Contracts or through arrangements with the Plans over a calendar quarter shall be computed by totaling daily balances during the quarter and dividing such total by the actual number of days in the quarter.
(d) Each Fee shall be calculated by multiplying the average daily net asset value of the Shares of each class of each Fund that are held on behalf of the Plans in an Account for which Voya is providing Plan Services by the appropriate basis points as set forth below in Section 3 of this Exhibit A. Voya Retirement or Voya Institutional or its designee shall calculate the amount of each quarterly payment and shall deliver to the Transfer Agent a quarterly invoice showing the calculation of the amount payable to the Voya Retirement or Voya Institutional. The Transfer Agent will make payment to Voya Retirement or Voya Institutional within thirty (30) days of receipt of the quarterly invoice.
(e) To the extent that any Fees have been paid pursuant to a 12b-1 Plan, HFMC shall provide to each Fund’s Board of Directors, and the directors shall review, at least quarterly, a written report of such Fees paid to Voya Retirement and/or Voya Institutional pursuant to a 12b-1 Plan and the purposes for which such Fees were paid.
204161292_5 LAW 9
EXHIBIT A
Section 3
Fees
The following chart shall be used to calculate Fees pursuant to Section 2 of this Exhibit A with respect to each Fund and Share class; Class R6 and Class SDR have no fees and therefore are not included in the table:
FUND NAME |
CLASS Y SHARES |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
||||||||
SubTA/Other Fee† |
Service Fee†† |
SubTA. Fee |
Other Fee |
Service Fee |
SubTA. Fee |
Other Fee |
Service Fee |
SubTA. Fee |
Other Fee |
|||
The Hartford Balanced Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Balanced Income Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Capital Appreciation Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Checks and Balances Fund |
N/A |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Conservative Allocation Fund |
N/A |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
Hartford Core Equity Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
x bps |
xx bps |
x bps |
||
The Hartford Dividend & Growth Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Emerging Markets Local Debt Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
Hartford Emerging Markets Equity Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
Hartford Environmental Opportunities Fund |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Equity Income Fund* |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Floating Rate Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Floating Rate High Income Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Global All-Asset Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
Hartford Global Impact Fund |
|
x bps |
|
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford Global Real Asset Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Growth Allocation Fund |
N/A |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Growth Opportunities Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Healthcare Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford High Yield Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
The Hartford Inflation Plus Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
||
10
204161292_5 LAW
EXHIBIT A
Section 3
FUND NAME |
CLASS Y SHARES |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
||||||
SubTA/Other Fee† |
Service Fee†† |
SubTA. Fee |
Other Fee |
Service Fee |
SubTA. Fee |
Other Fee |
Service Fee |
SubTA. Fee |
Other Fee |
|
Hartford International Equity Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford International Growth Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford International Opportunities Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford International Small Company Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford International Value Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Long/Short Global Equity Fund |
xx bps |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
X/X |
N/A |
The Hartford MidCap Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford MidCap Value Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Moderate Allocation Fund |
N/A |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford Municipal Opportunities Fund |
x bps |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Hartford Multi Asset Income Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford Quality Bond Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Quality Value Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford Short Duration Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford Small Company Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford SmallCap Growth Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Small Cap Value Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford Strategic Income Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford Total Return Bond Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
The Hartford World Bond Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Schroders Emerging Markets Equity Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Schroders Emerging Markets Multi-Sector Bond Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
x bps |
xx bps |
x bps |
Hartford Schroders Global Strategic Bond Fund |
x bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
x bps |
xx bps |
x bps |
Hartford Schroders International Multi-Cap Value Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
11
204161292_5 LAW
EXHIBIT A
Section 3
FUND NAME |
CLASS Y SHARES |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
||||||
SubTA/Other Fee† |
Service Fee†† |
SubTA. Fee |
Other Fee |
Service Fee |
SubTA. Fee |
Other Fee |
Service Fee |
SubTA. Fee |
Other Fee |
|
Hartford Schroders International Stock Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Schroders Tax-Aware Bond Fund |
x bps |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Hartford Schroders US Small Cap Opportunities Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
Hartford Schroders US Small/Mid Cap Opportunities Fund |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
xx bps |
*For Plans invested in Class Y shares of The Hartford Equity Income Fund prior to April 1, 2016 (which may include Plans that agree to invest prior to April 1, 2016 that will fund their investment on or after April 1, 2016), the Other Fee will be xx bps.
†See Section 2 paragraph (b) of this Exhibit A for a description of how the breakdown between Sub TA Fee and Other Fee.
††See Section 2 paragraph (a) of this Exhibit A for a description of how the Service Fee may be paid. Plan Agent may only receive a maximum of xx bps of this fee.
Please contact Hartford Dealer Support to ensure the quarterly invoice includes the appropriate level of detail. An example of an invoice is available upon request. Administrative Fees and Other Fees must be invoiced and/or accounted for separately.
Email Invoice To: Xxxxxxxxxxxxx@Xxxxxxxxxxxxx.xxx
For Questions Contact: Dealer Support at (000) 000-0000; silent option 4, option 4
Amendment: This Exhibit A maybe be amended from time to time by Fund Agent and shall supersede all prior versions of this Exhibit A and be deemed to constitute a valid amendment to the Agreement effective upon receipt by the Plan Agent of any such amended Exhibit A.
12
204161292_5 LAW
EXHIBIT A-1
Section 1
This Exhibit A-1 applies to all new plan business beginning April 1, 2019; existing plan business will continue to transact pursuant to the terms and rates set forth in Exhibit A. References in the Agreement to “Exhibit A” shall be deemed to be references to “Exhibit A-1” for all new plan business on or after April 1, 2019.
FUNDS
All current and future funds available for sale through the distribution channel, including but not limited to any funds listed below.
FUND NAME |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
CLASS R6 SHARES |
||||
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
|
The Hartford Balanced Fund |
ITTRX |
416649630 |
ITTSX |
416649333 |
XXXXX |
00000X000 |
ITTVX |
00000X000 |
The Hartford Balanced Income Fund |
HBLRX |
00000X000 |
HBLSX |
00000X000 |
HBLTX |
00000X000 |
HBLVX |
00000X000 |
The Hartford Capital Appreciation Fund |
ITHRX |
416649655 |
ITHSX |
416649358 |
ITHTX |
00000X000 |
ITHVX |
00000X000 |
The Hartford Checks and Balances Fund |
HCKRX |
00000X000 |
HCKSX |
00000X000 |
HCKTX |
00000X000 |
N/A |
N/A |
The Hartford Conservative Allocation Fund |
HCVRX |
416649739 |
HCVSX |
416649432 |
HCVTX |
416649135 |
N/A |
N/A |
Hartford Core Equity Fund |
HGIRX |
416649564 |
HGISX |
416649267 |
HGITX |
00000X000 |
HAITX |
00000X000 |
The Hartford Dividend & Growth Fund |
HDGRX |
416649580 |
HDGSX |
416649283 |
HDGTX |
00000X000 |
HDGVX |
00000X000 |
The Hartford Emerging Markets Local Debt Fund |
HLDRX |
00000X000 |
HLDSX |
00000X000 |
HLDTX |
00000X000 |
N/A |
N/A |
Hartford Emerging Markets Equity Fund |
HERRX |
00000X000 |
HERSX |
00000X000 |
HERTX |
00000X000 |
HERVX |
00000X000 |
Hartford Environmental Xxxxxxxxxxxxx Xxxx |
XXXXX |
00000X000 |
HEOSX |
00000X000 |
HEOTX |
00000X000 |
HEOVX |
00000X000 |
The Hartford Equity Income Fund |
HQIRX |
416649663 |
HQISX |
416649366 |
HQITX |
00000X000 |
HQIVX |
00000X000 |
The Hartford Floating Rate Fund |
HFLRX |
416649531 |
HFLSX |
416649234 |
HFLTX |
00000X000 |
N/A |
N/A |
The Hartford Floating Rate High Income Fund |
HFHRX |
00000X000 |
HFHSX |
00000X000 |
HFHTX |
00000X000 |
N/A |
N/A |
The Hartford Global All-Asset Fund |
HLARX |
00000X000 |
HLASX |
00000X000 |
HLATX |
00000X000 |
HLAUX |
00000X000 |
Hartford Global Impact Fund |
HGXRX |
00000X000 |
HGXSX |
00000X000 |
HGXTX |
00000X000 |
HGXVX |
00000X000 |
The Hartford Global Real Asset Fund |
HRLRX |
00000X000 |
HRLSX |
00000X000 |
HRLTX |
00000X000 |
N/A |
N/A |
The Hartford Growth Allocation Fund |
HRARX |
416649754 |
HRASX |
416649457 |
HRATX |
416649150 |
N/A |
N/A |
13
204161292_5 LAW
EXHIBIT A-1
Section 1
FUND NAME |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
CLASS R6 SHARES |
||||
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
|
The Hartford Growth Opportunities Fund |
HGORX |
416641603 |
HGOSX |
416641876 |
HGOTX |
416641835 |
HGOVX |
416641785 |
The Hartford Healthcare Fund |
HGHRX |
416649671 |
HGHSX |
416649374 |
HGHTX |
00000X000 |
N/A |
N/A |
The Hartford High Yield Fund |
HAHRX |
416649648 |
HAHSX |
416649341 |
HAHTX |
00000X000 |
N/A |
N/A |
The Hartford Inflation Plus Fund |
HIPRX |
416649598 |
HIPSX |
416649291 |
HIPTX |
00000X000 |
N/A |
N/A |
Hartford International Equity Fund |
HDVRX |
00000X000 |
HDVSX |
00000X000 |
HDVTX |
00000X000 |
HDVVX |
00000X000 |
The Hartford International Growth Fund |
HNCRX |
416649689 |
HNCSX |
416649382 |
HNCTX |
00000X000 |
HNCUX |
00000X000 |
The Hartford International Opportunities Fund |
IHORX |
416649549 |
IHOSX |
416649242 |
IHOTX |
00000X000 |
IHOVX |
00000X000 |
The Hartford International Small Company Fund |
HNSRX |
00000X000 |
HNSSX |
00000X000 |
HNSTX |
00000X000 |
N/A |
N/A |
The Hartford International Value Fund |
HILRX |
00000X000 |
HILSX |
00000X000 |
HILTX |
00000X000 |
N/A |
N/A |
The Hartford MidCap Fund |
HFMRX |
00000X000 |
HFMSX |
00000X000 |
HFMTX |
00000X000 |
HFMVX |
00000X000 |
The Hartford MidCap Value Fund |
HMVRX |
00000X000 |
HMVSX |
00000X000 |
HMVTX |
00000X000 |
N/A |
N/A |
Hartford Moderate Allocation Fund |
HBARX |
416649747 |
HBASX |
416649440 |
HBATX |
416649143 |
N/A |
N/A |
Hartford Multi Asset Income Fund |
HAFRX |
00000X000 |
HAFSX |
00000X000 |
HAFTX |
00000X000 |
N/A |
N/A |
The Hartford Quality Bond Fund |
HQBRX |
00000X000 |
HQBSX |
00000X000 |
HQBTX |
00000X000 |
N/A |
N/A |
Hartford Quality Value Fund |
HVORX |
416641801 |
HVOSX |
416641850 |
HVOTX |
416641819 |
HVOVX |
00000X000 |
The Hartford Short Duration Fund |
HSDRX |
00000X000 |
HSDSX |
00000X000 |
HSDTX |
00000X000 |
N/A |
N/A |
The Hartford Small Company Fund |
IHSRX |
416649697 |
IHSSX |
416649390 |
IHSUX |
00000X000 |
IHSVX |
00000X000 |
The Hartford SmallCap Growth Fund |
HSLRX |
416641702 |
HSLSX |
416641868 |
HSLTX |
416641827 |
HSLVX |
41164R259 |
Hartford Small Cap Value Fund |
HSMRX |
00000X000 |
HSMSX |
00000X000 |
HSMTX |
00000X000 |
HSMVX |
00000X000 |
The Hartford Strategic Income Fund |
HSNRX |
00000X000 |
HSNSX |
00000X000 |
HSNTX |
00000X000 |
HSNVX |
00000X000 |
The Hartford Total Return Bond Fund |
ITBRX |
416649556 |
ITBUX |
416649259 |
ITBTX |
00000X000 |
ITBVX |
00000X000 |
The Hartford World Bond Fund |
HWDRX |
00000X000 |
HWDSX |
00000X000 |
HWDTX |
00000X000 |
XXXXX |
00000X000 |
Xxxxxxxx Schroders Emerging Markets Equity Fund |
HHHRX |
00000X000 |
HHHSX |
00000X000 |
HHHTX |
00000X000 |
N/A |
N/A |
Hartford Schroders Emerging Markets Multi-Sector Bond Fund |
HFZRX |
00000X000 |
HFZSX |
00000X000 |
HFZTX |
00000X000 |
N/A |
N/A |
14
204161292_5 LAW
EXHIBIT A-1
Section 1
FUND NAME |
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
CLASS R6 SHARES |
||||
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
TICKER SYMBOL |
CUSIP |
|
Hartford Schroders Global Strategic Bond Fund |
HSBRX |
00000X000 |
HSBSX |
00000X000 |
HSBTX |
00000X000 |
N/A |
N/A |
Hartford Schroders International Multi-Cap Value Fund |
HFYRX |
00000X000 |
HFYSX |
00000X000 |
HFYTX |
00000X000 |
N/A |
N/A |
Hartford Schroders International Stock Fund |
HSWRX |
00000X000 |
HSWSX |
00000X000 |
HSWTX |
00000X000 |
N/A |
N/A |
Hartford Schroders US Small Cap Opportunities Fund |
HOORX |
00000X000 |
HOOSX |
00000X000 |
HOOTX |
00000X000 |
N/A |
N/A |
Hartford Schroders US Small/Mid Cap Opportunities Fund |
HFDRX |
00000X000 |
HFDSX |
00000X000 |
HFDTX |
00000X000 |
N/A |
N/A |
FUND NAME |
CLASS SDR SHARES |
|
TICKER SYMBOL |
CUSIP |
|
Hartford Schroders Emerging Markets Equity Fund |
SEMTX |
00000X000 |
Hartford Schroders Global Strategic Bond Fund |
SGBJX |
00000X000 |
Hartford Schroders International Multi-Cap Value Fund |
SIDRX |
00000X000 |
Hartford Schroders International Stock Fund |
SCIJX |
00000X000 |
Hartford Schroders Emerging Markets Multi-Sector Bond Fund |
SMSRX |
00000X000 |
Hartford Schroders Tax-Aware Bond Fund |
HFKVX |
00000X000 |
Hartford Schroders US Small Cap Opportunities Fund |
SCURX |
00000X000 |
Hartford Schroders US Small/Mid Cap Opportunities Fund |
SMDRX |
00000X000 |
15
204161292_5 LAW
EXHIBIT A-1
Section 2
(a) Class R Share Fees: The Fees paid with respect to Class R shares of a Fund, as applicable, shall be a Service Fee and a Sub TA Fee, if applicable. The Sub TA Fee payable with respect to Class R shares for services provided by Plan Agent shall be paid by Transfer Agent or an affiliate out of assets received from the Fund for recordkeeping and/or administrative services as set forth in Section 3 of the Agreement (i.e., establishment and maintenance of Plan and Participant records related to Instructions and processing Instructions from Contract owners, Plan Representatives and/or Participants), transmission of reports and other written materials from the Funds to Contract owners, Plan Representatives and/or Participants and other related administrative services. The Service Fee shall be paid by the pertinent Fund’s distributor or underwriter for distribution-related services related to activities primarily intended to result in selection by a Contract owner or Plan Representative of one or more Funds for inclusion as an option under a Plan or investment in one or more Funds by a Contract owners, Plan Representative or a Participant (e.g., marketing services). Sub TA Fees with respect to Class R shares of a Fund are not paid pursuant to a 12b-1 plan. The Service Fee may be paid in accordance with the Fund’s 12b-1 plan, if applicable. The parties agree that in the event that a broker-dealer of record is registered to an Account, the distribution related portion of the Service Fee shall be paid to such broker-dealer pursuant to a separate Selling Agreement and shall not be paid to the Plan Agent.
(b) The average aggregate amount invested in the Funds through Contracts or through arrangements with Plans over a calendar quarter shall be computed by totaling daily balances during the quarter and dividing such total by the actual number of days in the quarter.
(c) Each Fee shall be calculated by multiplying the average daily net asset value of the Shares of each class of each Fund that are held on behalf of the Plans in an Account for which Voya is providing Plan Services by the appropriate basis points as set forth below in Section 3 of this Exhibit A. Voya Retirement or Voya Institutional or its designee shall calculate the amount of each quarterly payment and shall deliver to the Transfer Agent a quarterly invoice showing the calculation of the amount payable to Voya Retirement or Voya Institutional. The Transfer Agent will make payment to Voya Retirement or Voya Institutional within thirty (30) days of receipt of the quarterly invoice.
(d) To the extent that any Fees have been paid pursuant to a 12b-1 Plan, HFMC shall provide to each Fund’s Board of Directors, and the directors shall review, at least quarterly, a written report of such Fees paid to Voya Retirement and/or Voya Institutional pursuant to a 12b-1 Plan and the purposes for which such Fees were paid.
16
204161292_5 LAW
EXHIBIT A-1
Section 3
Fees
The following chart shall be used to calculate Fees pursuant to Section 2 of this Exhibit A-1 with respect to each Fund and Share class; Class R6 and Class SDR have no fees and therefore are not included in the table:
CLASS R3 SHARES |
CLASS R4 SHARES |
CLASS R5 SHARES |
|||
Service Fee* |
Sub TA Fee |
Service Fee |
Sub TA Fee |
Service Fee |
Sub TA Fee |
xx bps |
xx bps |
xx bps |
xx bps |
x bps |
xx bps |
*See Section 2 paragraph (a) of this Exhibit A-1 for a description of how the Service Fee may be paid. Plan Agent may only receive a maximum of xx bps of this fee.
Please contact Hartford Dealer
Support to ensure the quarterly invoice includes the appropriate level of
detail. An example of an invoice is available upon request. Sub TA Fees must
be invoiced and/or accounted for separately.
Email Invoice To: Xxxxxxxxxxxxx@Xxxxxxxxxxxxx.xxx
For Questions Contact: Dealer Support at (000) 000-0000; silent option 4
Amendment: This Exhibit A-1 may be amended from time to time by Fund Agent and shall supersede all prior versions of this Exhibit A-1 and be deemed to constitute a valid amendment to the Agreement effective upon receipt by Voya of any such amended Exhibit A-1.
17
204161292_5 LAW