Contract
Exhibit 24(b)(8.115)
Third Amendment to the Selling and Services Agreement and Fund Participation
Agreement
This Third Amendment dated as of November 16, 2009 by and between ING Life
Insurance and Annuity Company (“ING Life”), ING Institutional Plan Services, LLP (“ING
Institutional”), ING Financial Advisers, LLC (“ING Financial”) (collectively “ING”), NYLIFE
Distributors LLC (“NYLIFE Distributors”), and NYLIM Service Company LLC (“NSC”)(NYLIFE
Distributors and NSC are collectively referred to herein as “Fund Service Provider”), is made to the
Selling and Services Agreement and Fund Participation Agreement dated as of November 8, 2007
(the “Agreement”), as amended on September 30, 2008 and April 24, 2009. Terms defined in the
Agreement are used herein as therein defined.
W I T N E S S E T H:
WHEREAS, ING and Fund Service Provider are parties to that certain Selling
and Services Agreement and Fund Participation Agreement, which was effective as of
November 8, 2007, and any Amendments thereto (the “Agreement”); and
WHEREAS, ING and Fund Service Provider wish to update the schedule of
Funds serviced under the Agreement (“Schedule C”);
NOW, THEREFORE, in consideration of the premises and mutual covenants
herein contained, and intending to be legally bound hereby, the parties hereto agree as
follows:
| 1. | Schedule C of the Agreement is hereby deleted in its entirety and replaced with the attached. |
Except as provided herein, the terms and conditions contained in the Agreement
shall remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be
executed by their duly authorized officers effective as of the date first above written.
| ING Life Insurance and Annuity | NYLIM Service Company LLC | ||
| Company | |||
| By: | /s/ Xxxxxx Xxxxxx | By: | /s/ Xxxxx X. Xxxxxx |
| Name: Xxxxxx Xxxxxx | Name: Xxxxx X. Xxxxxx | ||
| Title: | Vice President | Title: | President |
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| ING Financial Advisors, LLC | NYLIFE Distributors LLC | ||
| By: | /s/ Xxxxx Xxxxxx | By: | /s/ Xxxx Xxxxxx |
| Name: Xxxxx Xxxxxx | Name: Xxxx Xxxxxx | ||
| Title: | COO/VP | Title: Managing Director | |
| ING Institutional Plan Services, LLC | |||
| By: | /s/ Xxxxxxxx Xxxxxxxxx, Attorney in Fact | ||
| Name: Xxxxxxxx Xxxxxxxxx, Attorney in Fact | |||
| Title: | Vice President | ||
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Schedule C
MainStay Funds Investor Class Shares
ING’s compensation shall be an annual sub-transfer agency fee of ____% of the average daily
net assets held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay 130/30 Core Fund | 00000X000 | MYCNX |
| MainStay 130/30 Growth Fund | 00000X000 | MYGNX |
| MainStay Balanced Fund | 00000X000 | MBINX |
| MainStay Capital Appreciation Fund1 | 00000X000 | MCPPX |
| MainStay Epoch Global Choice Fund | 00000X000 | EPAIX |
| MainStay Epoch Global Equity Yield Fund | 00000X000 | EPSIX |
| MainStay Epoch International Small Cap Fund | 00000X000 | EPIIX |
| MainStay Epoch U.S. All Cap Fund | 00000X000 | MAWNX |
| MainStay Epoch U.S. Equity Fund | 00000X000 | EPLIX |
| MainStay Growth Equity Fund | 00000X000 | MRINX |
| MainStay High Yield Corp. Bond Fund | 00000X000 | MHHIX |
| MainStay ICAP Equity Fund | 448926725 | ICANX |
| MainStay ICAP Global | 448926733 | ICGNX |
| MainStay ICAP International Fund | 448926691 | ICELX |
| MainStay ICAP Select Equity Fund | 448926717 | ICSOX |
| MainStay International Equity Fund | 00000X000 | MINNX |
| MainStay Large Cap Growth Fund | 00000X000 | MLINX |
| MainStay Map Fund | 00000X000 | MSMIX |
| MainStay Mid Cap Value Fund2 | 00000X000 | MMVIX |
| MainStay Small Cap Growth Fund3 | 00000X000 | MSSNX |
| MainStay U.S. Small Cap Fund | 00000X000 | MOINX |
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net
assets held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Common Stock Fund | 00000X000 | MCSSX |
| MainStay Conservative Allocation Fund | 00000X000 | MCKNX |
| MainStay Convertible Fund | 00000X000 | MCINX |
| MainStay Diversified Inc Fund | 00000X000 | MSYDX |
| MainStay Floating Rate Fund | 00000X000 | MXFNX |
| MainStay Global High Inc Fund | 00000X000 | MGHHX |
| MainStay Government Fund | 00000X000 | MGVNX |
| MainStay Growth Allocation Fund | 00000X000 | MGXNX |
| MainStay Income Builder Fund | 00000X000 | MTINX |
| MainStay Indexed Bond Fund | 00000X000 | MIXNX |
| MainStay Intermediate Bond Fund | 00000X000 | MTMNX |
| MainStay Moderate Allocation Fund | 00000X000 | MMRDX |
| MainStay Moderate Growth Allocation Fund | 00000X000 | MGDNX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRDX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRYX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTFX |
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| MainStay Retirement 2040 Fund | 00000X000 | MSRUX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRVX |
| MainStay S&P 500 Index Fund | 00000X000 | MYSPX |
| MainStay Short Term Bond Fund | 00000X000 | MYTBX |
| MainStay Tax Free Bond Fund | 00000X000 | MKINX |
MainStay Funds Class A Shares
(For those existing Plans whose Fund Schedules included Class A Shares prior to September 30, 2008.)
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net
assets held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay 130/30 Core Fund | 00000X000 | MYCTX |
| MainStay 130/30 Growth Fund | 00000X000 | MYGAX |
| MainStay Balanced Fund | 278846431 | MBNAX |
| MainStay Capital Appreciation Fund1 | 278846480 | MALAX |
| MainStay Epoch Global Choice Fund | 00000X000 | EPAPX |
| MainStay Epoch Global Equity Yield Fund | 56063J8800 | EPSPX |
| MainStay Epoch International Small Cap Fund | 00000X000 | EPIPX |
| MainStay Epoch U.S. All Cap Fund | 278846522 | MAAAX |
| MainStay Epoch U.S. Equity Fund | 00000X000 | EPLPX |
| MainStay Growth Equity Fund | 00000X000 | MREAX |
| MainStay High Yield Corporate Bond Fund | 00000X000 | MHCAX |
| MainStay ICAP Equity Fund | 448926824 | ICAUX |
| MainStay ICAP Global | 448926766 | ICGLX |
| MainStay ICAP International Fund | 448926501 | ICEVX |
| MainStay ICAP Select Equity | 448926873 | ICSRX |
| MainStay International Equity Fund | 00000X000 | MSEAX |
| MainStay Large Cap Growth Fund | 00000X000 | MLAAX |
| MainStay MAP Fund | 00000X000 | MAPAX |
| MainStay Mid Cap Value Fund2 | 00000X000 | MYIAX |
| MainStay Small Cap Growth Fund3 | 00000X000 | MSMAX |
| MainStay U.S. Small Cap Fund | 278846258 | MOPAX |
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net
assets held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Common Stock Fund | 00000X000 | MSOAX |
| MainStay Conservative Allocation | 278846233 | MCKAX |
| MainStay Convertible Fund | 00000X000 | MCOAX |
| MainStay Diversified Income Fund | 00000X000 | MASAX |
| MainStay Floating Rate Fund | 00000X000 | MXFAX |
| MainStay Global High Income Fund | 00000X000 | MGHAX |
| MainStay Government Fund | 00000X000 | MGVAX |
| MainStay Growth Allocation | 00000X000 | MGXAX |
| MainStay Income Builder Fund | 00000X000 | MTRAX |
| MainStay Indexed Bond Fund | 278846381 | MIXAX |
| MainStay Intermediate Term Bond Fund | 278846373 | MTMAX |
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| MainStay Moderate Allocation | 278846183 | MMRAX |
| MainStay Moderate Growth Allocation | 278846142 | MGDAX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRAX |
| MainStay Retirement 2020 Fund | 00000X000 | MYROX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTTX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRTX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRLX |
| MainStay S&P 500 Index Fund | 278846274 | MSXAX |
| MainStay Short Term Bond Fund | 278846266 | MSTAX |
| MainStay Tax Free Bond Fund | 00000X000 | MTBAX |
MainStay Funds Class I Shares
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net
assets held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay 130/30 Core Fund | 00000X000 | MYCIX |
| MainStay 130/30 Growth Fund | 00000X000 | MYGIX |
| MainStay Balanced Fund | 278846209 | MBAIX |
| MainStay Capital Appreciation Fund1 | 278846829 | MALIX |
| MainStay Epoch Global Choice Fund | 00000X000 | EPACX |
| MainStay Epoch Global Equity Yield Fund | 00000X000 | EPSYX |
| MainStay Epoch International Small Cap Fund | 00000X000 | EPIEX |
| MainStay Epoch U.S. All Cap Fund | 278846886 | MATIX |
| MainStay Epoch U.S. Equity Fund | 00000X000 | EPLCX |
| MainStay Growth Equity Fund | 00000X000 | MRIEX |
| MainStay High Yield Corporate Bond Fund | 00000X000 | MHYIX |
| MainStay ICAP Equity Fund | 448926204 | ICAEX |
| MainStay ICAP Global | 448926741 | ICGRX |
| MainStay ICAP International Fund | 448926402 | ICEUX |
| MainStay ICAP Select Equity Fund | 448926303 | ICSLX |
| MainStay International Equity Fund | 00000X000 | MSIIX |
| MainStay Large Cap Growth Fund | 00000X000 | MLAIX |
| MainStay MAP Fund | 00000X000 | MUBFX |
| MainStay Mid Cap Value Fund2 | 00000X000 | MMVIX |
| MainStay Small Cap Growth Fund3 | 00000X000 | MSSIX |
| MainStay U.S. Small Cap Fund | 278846100 | MOPIX |
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net
assets held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Common Stock Fund | 00000X000 | MSOIX |
| MainStay Conservative Allocation | 278846191 | MCKIX |
| MainStay Diversified Income Fund | 00000X000 | MSDIX |
| MainStay Floating Rate Fund | 00000X000 | MXFIX |
| MainStay Government Fund | 00000X000 | MGOIX |
| MainStay Growth Allocation | 00000X000 | MGXIX |
| MainStay Income Builder Fund | 00000X000 | MTOIX |
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| MainStay Indexed Bond Fund | 278846779 | MIXIX |
| MainStay Intermediate Term Bond Fund | 278846795 | MTMIX |
| MainStay Moderate Allocation | 278846159 | MMRIX |
| MainStay Moderate Growth Allocation | 278846118 | MGDIX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRIX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRTX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTIX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRYX |
| MainStay Retirement 0000 Xxxx | 00000X000 | XXXXX |
| MainStay S&P 500 Index Fund | 278846860 | MSPIX |
| MainStay Short Term Bond Fund | 278846712 | MSTIX |
MainStay Funds Class R1 Shares
ING’s compensation shall be a combination of an annual shareholder service fee of ___% and a
sub-transfer agency fee of ___% of the average daily net assets held in the account, calculated
and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Balanced Fund | 278846415 | MBNRX |
| MainStay ICAP Equity Fund | 448926790 | ICAWX |
| MainStay ICAP International Fund | 448926709 | ICETX |
| MainStay ICAP Select Equity Fund | 448926857 | ICSWX |
| MainStay International Equity | 00000X000 | MIERX |
| MainStay Large Cap Growth Fund | 00000X000 | MLRRX |
| MainStay MAP Fund | 00000X000 | MAPRX |
| MainStay Mid Cap Value Fund2 | 00000X000 | MMIRX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRRX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRUX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTOX |
| MainStay Retirement 2040 Fund | 00000X000 | MSREX |
| MainStay Retirement 2050 Fund | 00000X000 | MSROX |
MainStay Funds Class R2 Shares
ING’s compensation shall be a combination of an annual shareholder service fee of ___% and a
sub-transfer agency fee of ___% of the average daily net assets held in the account, calculated
and payable quarterly for the funds listed below
| Fund Name | CUSIP | TICKER |
| MainStay Balanced Fund | 278846399 | MBCRX |
| MainStay Common Stock Fund | 00000X000 | MSORX |
| MainStay High Yield Corporate Bond Fund | 00000X000 | MHYRX |
| MainStay ICAP Equity Fund | 448926782 | ICAYX |
| MainStay ICAP International Fund | 448926808 | ICEYX |
| MainStay ICAP Select Equity Fund | 448926840 | ICSYX |
| MainStay International Equity | 00000X000 | MIRRX |
| MainStay Large Cap Growth Fund | 00000X000 | MLRTX |
| MainStay MAP Fund | 00000X000 | MPRRX |
| MainStay Mid Cap Value Fund2 | 00000X000 | MMRRX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRWX |
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| MainStay Retirement 2020 Fund | 00000X000 | MYRVX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTUX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRQX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRPX |
MainStay Funds Class R3 Shares
ING’s compensation shall be a combination of an annual shareholder service fee of ___% and a
sub-transfer agency fee of ___% of the average daily net assets held in the account, calculated
and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Balanced Fund | 00000X000 | MBDRX |
| MainStay ICAP Equity Fund | 448926774 | ICAZX |
| MainStay ICAP International Fund | 448926881 | ICEZX |
| MainStay ICAP Select Equity Fund | 448926832 | ICSZX |
| MainStay International Equity | 00000X000 | MIFRX |
| MainStay Large Cap Growth Fund | 00000X000 | MLGRX |
| MainStay MAP Fund | 00000X000 | MMAPX |
| MainStay Retirement 2010 Fund | 00000X000 | MYREX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRZX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTVX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRZX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRWX |
1 On or about November 24, 2009, subject to shareholder approval, the MainStay Capital Appreciation
Fund is scheduled to be reorganized into the MainStay Growth Equity Fund.
2 On or about November 24, 2009, subject to shareholder approval, the MainStay Mid Cap Value Fund is
scheduled to be reorganized into the MainStay ICAP Select Equity Fund.
3 On or about November 24, 2009, subject to shareholder approval, the MainStay Small Cap Growth Fund
is scheduled to be reorganized into the MainStay U.S. Small Cap Fund.
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