AMENDMENT NO. 5 EXPENSE LIMITATION AGREEMENT
Exhibit(h)(3)(vi)
AMENDMENT NO. 5
Amendment No. 5, effective as of May 1, 2013 to the Expense Limitation Agreement between AXA Equitable Funds Management Group, LLC (“AXA FMG” or the “Manager”) and EQ Advisors Trust (the “Trust”) (“Amendment No. 5”).
The Manager and Trust hereby agree to modify and amend the Expense Limitation Agreement dated as of May 1, 2011, as amended, (“Agreement”), between them as follows:
| 1. | Schedule A: Schedule A to the Agreement, which sets forth the Portfolios of the Trust subject to this Agreement, is hereby replaced in its entirety by Amendment No. 5 to Schedule A attached hereto. Schedule A is being amended to reflect new and revised expense caps for certain Trust Portfolios in conformity with order approving the substitution of Trust securities pursuant to Section 26(c) of the Investment Company Act of 1940, as amended (the “1940 Act” or “Act”) and an order of exemption pursuant to Section 17(b) of the Act from Section 17(a) of the Act. |
| 2. | Name Change: The name of EQ/AllianceBernsein Short-Term Government Bond Portfolio is changed to EQ/AllianceBernstein Short Duration Government Bond Portfolio. |
| 3. | Schedule A. Schedule A to the Agreement, which sets forth the Portfolios of the Trust, is hereby replaced in its entirety by Amendment No. 5 to Schedule A attached hereto. |
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 5 as of the date first above set forth.
| EQ ADVISORS TRUST | AXA EQUITABLE FUNDS MANAGEMENT GROUP, LLC | |||||||
| By: | /s/ Xxxxx Xxxxx |
By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxx Xxxxx | Xxxxxx X. Xxxxx | |||||||
| Chief Financial Officer and Treasurer | Chairman, Chief Executive Officer and President | |||||||
SCHEDULE A
AMENDMENT NO. 5
MAXIMUM ANNUAL OPERATING EXPENSE LIMITS
This Agreement relates to the following Portfolios of the Trust:
| Portfolio |
Maximum Annual Operating Expense Limit | |||||||||||
| Class K | Class IA+ | Class IB+ | ||||||||||
| EQ/AXA Franklin Small Cap Value Core Portfolio |
1.05 | % | 1.30 | % | 1.30 | % | ||||||
| EQ/Franklin Core Balanced Portfolio |
1.05 | % | 1.30 | % | 1.30 | % | ||||||
| EQ/Franklin Xxxxxxxxx Allocation Portfolio |
0.15 | % | 0.40 | % | 0.40 | % | ||||||
| EQ/Mutual Large Cap Equity Portfolio |
1.05 | % | 1.30 | % | 1.30 | % | ||||||
| EQ/Xxxxxxxxx Global Equity Portfolio |
1.10 | % | 1.35 | % | 1.35 | % | ||||||
| EQ/Emerging Markets Equity PLUS Portfolio |
1.00 | % | N/A | 1.25 | % | |||||||
| EQ/Equity Growth PLUS Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/Global Bond PLUS Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/International Core PLUS Portfolio |
0.85 | % | 1.10 | % | 1.10 | % | ||||||
| EQ/International Small Cap PLUS Portfolio |
1.00 | % | N/A | 1.25 | % | |||||||
| EQ/International Value PLUS Portfolio |
0.85 | % | 1.10 | % | 1.10 | % | ||||||
| EQ/Large Cap Core PLUS Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/Large Cap Growth PLUS Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/Large Cap Value PLUS Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/Mid Cap Value PLUS Portfolio |
0.80 | % | 1.05 | % | 1.05 | % | ||||||
| EQ/Natural Resources PLUS Portfolio |
0.85 | % | N/A | 1.10 | % | |||||||
| EQ/Quality Bond PLUS Portfolio |
0.60 | % | 0.85 | % | 0.85 | % | ||||||
| EQ/Real Estate PLUS Portfolio |
0.85 | % | N/A | 1.10 | % | |||||||
| AXA Aggressive Strategy Portfolio |
0.90 | %* | N/A | 1.15 | %* | |||||||
| AXA Balanced Strategy Portfolio |
0.80 | %* | 1.05 | %* | 1.05 | %* | ||||||
| AXA Conservative Growth Strategy Portfolio |
0.75 | %* | 1.00 | %* | 1.00 | %* | ||||||
| AXA Conservative Strategy Portfolio |
0.70 | %* | 0.95 | %* | 0.95 | %* | ||||||
| AXA Growth Strategy Portfolio |
0.85 | %* | 1.10 | %* | 1.10 | %* | ||||||
| AXA Moderate Growth Strategy Portfolio |
0.85 | %* | 1.10 | %* | 1.10 | %* | ||||||
| AXA Ultra Conservative Strategy Portfolio |
0.70 | %* | 0.95 | %* | 0.95 | %* | ||||||
| ATM International Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| ATM Large Cap Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| ATM Mid Cap Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| ATM Small Cap Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| AXA Tactical Manager 2000 Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| AXA Tactical Manager 400 Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| AXA Tactical Manager 500 Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| AXA Tactical Manager International Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| EQ/AllianceBernstein Short-Term Bond |
0.65 | % | 0.90 | % | 0.90 | % | ||||||
| Portfolio |
Maximum Annual Operating Expense Limit | |||||||||||
| Class K | Class IA+ | Class IB+ | ||||||||||
| EQ/AllianceBernstein Short Duration Government Bond |
0.65 | % | 0.90 | % | 0.90 | % | ||||||
| All Asset Aggressive-Alt 25 Portfolio |
0.10 | % | N/A | 0.35 | % | |||||||
| All Asset Growth — Alt 20 Portfolio |
0.10 | % | 0.35 | % | 0.35 | % | ||||||
| All Asset Moderate Growth-Alt 15 Portfolio |
0.10 | % | N/A | 0.35 | % | |||||||
| EQ/AllianceBernstein Dynamic Wealth Strategies Portfolio |
0.95 | % | 1.20 | % | 1.20 | % | ||||||
| EQ/BlackRock Basic Value Equity Portfolio |
0.70 | % | 0.95 | % | 0.95 | % | ||||||
| EQ/Boston Advisors Equity Income Portfolio |
0.80 | % | 1.05 | % | 1.05 | % | ||||||
| EQ/Xxxxxxx Socially Responsible Portfolio |
0.90 | % | 1.15 | % | 1.15 | % | ||||||
| EQ/Capital Guardian Research Portfolio |
0.72 | % | 0.97 | % | 0.97 | % | ||||||
| EQ/Core Bond Index Portfolio |
0.47 | % | 0.72 | % | 0.72 | % | ||||||
| EQ/Xxxxx New York Venture Portfolio |
0.90 | % | 1.15 | % | 1.15 | % | ||||||
| EQ/International ETF Portfolio |
0.55 | % | 0.80 | % | 0.80 | % | ||||||
| EQ/High Yield Bond Portfolio |
0.95 | % | N/A | 1.20 | % | |||||||
| EQ/JPMorgan Value Opportunities Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/Lord Xxxxxx Large Cap Core Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/MFS International Growth Portfolio |
1.00 | % | 1.25 | % | 1.25 | % | ||||||
| EQ/Montag & Xxxxxxxx Growth Portfolio |
0.90 | % | 1.15 | % | 1.15 | % | ||||||
| EQ/Xxxxxx Xxxxxxx Mid Cap Growth Portfolio |
0.85 | % | 1.10 | % | 1.10 | % | ||||||
| EQ/Xxxxxxxxxxx Global Portfolio |
1.00 | % | 1.25 | % | 1.25 | % | ||||||
| EQ/PIMCO Real Return Portfolio |
0.75 | % | N/A | 1.00 | % | |||||||
| EQ/PIMCO Ultra Short Bond Portfolio |
0.60 | % | 0.85 | % | 0.85 | % | ||||||
| EQ/X. Xxxx Price Growth Stock Portfolio |
0.85 | % | 1.10 | % | 1.10 | % | ||||||
| EQ/UBS Growth and Income Portfolio |
0.80 | % | 1.05 | % | 1.05 | % | ||||||
| EQ/Xxx Xxxxxx Xxxxxxxx Portfolio |
0.75 | % | 1.00 | % | 1.00 | % | ||||||
| EQ/Xxxxx Fargo Omega Growth Portfolio |
0.80 | % | 1.05 | % | 1.05 | % | ||||||
| * | For purposes of calculating the Maximum Annual Operating Expense Limit, the expenses of other investment companies in which the Portfolio invests are included in Fund Operating Expenses. |
| + | Includes amounts payable pursuant to Rule 12b-1 of the Investment Company Act of 1940. |
