FIFTH AMENDMENT TO
RETAIL FUND PARTICIPATION AGREEMENT
This amendment (the "AMENDMENT") is made this 26th day of September 2011,
and amends the prior Agreement dated June 29, 2004 (the "AGREEMENT"), as
amended, among Hartford Life Insurance Company, a Connecticut corporation, (the
"COMPANY" or "HARTFORD"), Xxxxxxxxx Investment Management, Inc. ("ADVISOR"), and
Xxxxxxxxx Securities Corp. (the "DISTRIBUTOR"). Capitalized terms used but not
defined herein have the meanings ascribed to them in the Agreement.
WHEREAS, the parties to the Agreement desire to amend the Agreement to
modify SCHEDULE B;
NOW, THEREFORE, the parties hereto agree as follows:
1. SCHEDULE B is deleted and replaced in its entirety by the SCHEDULE B
attached hereto.
2. All other terms of the Agreement shall continue in force and effect
pursuant to the terms thereof.
3. This Amendment may be executed in two or more counterparts, each of which
shall be deemed an original, but all of which together shall constitute
one and the same agreement.
IN WITNESS WHEREOF, the undersigned have executed this Amendment by their
duly authorized officers as of the date above.
HARTFORD LIFE INSURANCE HARTFORD SECURITES
COMPANY DISTRIBUTION COMPANY, INC.
By: /s/ Xxxxxxx X. Xxxx By: /s/ Xxxxxxx X. Xxxx
-------------------------------- ----------------------
Its: AVP Its: AVP
-------------------------------- ----------------------
Dated: 9-28-11 Dated: 9-28-11
-------------------------------- ----------------------
XXXXXXXXX INVESTMENT XXXXXXXXX SECURITIES
MANAGEMENT, INC. CORP.
By: /s/ Xxxxx Xxxxxxxx By: /s/ Xxxxx Xxxxxxxx
-------------------------------- ----------------------
Its: Xxxxx Xxxxxxxx Managing Director Its: Xxxxx Xxxxxxxx VP
-------------------------------- ----------------------
Dated: 9-26-11 Dated: 9-26-11
-------------------------------- ----------------------
SCHEDULE B
In consideration of the services provided by the Company, and/or its affiliate,
HSD, Advisor agrees to pay the Company an amount equal to the following
Administrative basis points Fees per annum on the average aggregate amount
invested by the Company's Separate Account(s) in each Portfolio under the Fund
Participation Agreement, such amounts to be paid within 30 days of the end of
each calendar quarter.
SERVICE
PORTFOLIO FEES
----------------------------------------------------------
Xxxxxxxxx Value R3 0.25%
Xxxxxxxxx International Value R3 0.25%
Xxxxxxxxx Core Growth R3 0.25%
Xxxxxxxxx Investment Income Builder R3 0.25%
Xxxxxxxxx Global Opportunities R3 0.25%
Xxxxxxxxx International Growth R3 0.25%
Xxxxxxxxx Limited Term Income R3 0.05%
Xxxxxxxxx Limited Term US Govt R3 0.05%
Xxxxxxxxx Value Fund R4 0.25%
Xxxxxxxxx International Value R4 0.25%
Xxxxxxxxx Core Growth R4 0.25%
Xxxxxxxxx Investment Income Builder R4 0.25%
Xxxxxxxxx Global Opportunities R4 0.25%
Xxxxxxxxx International Growth R4 0.25%
Xxxxxxxxx Value Fund R5 0.20%
Xxxxxxxxx International Value R5 0.20%
Xxxxxxxxx Core Growth R5 0.20%
Xxxxxxxxx Investment Income Bldr R5 0.20%
Xxxxxxxxx Global Opportunities R5 0.20%
Xxxxxxxxx International Growth R5 0.20%
In addition to the fees set forth in this Agreement, HSD will receive a 12b-1
fee in accordance with the then current prospectus of the applicable Fund.
SERVICES TO BE PERFORMED INCLUDE:
(a) assist in processing customer purchase and redemption requests;
(b) answer customer inquiries regarding account status and history;
(c) assist customers in designating and changing account designations
and addresses;
(d) provide periodic statements showing customer account balances;
(e) furnish statements and confirmations of all purchase and redemption
requests as may be required by applicable law;
(f) process customer purchase and redemption requests for Shares and
placing purchase and redemption instructions with the Funds'
transfer agent; and (g) provide sub-accounting services and maintain
accurate sub-accounting records regarding Shares beneficially owned
by customers.
