FORM OF AMENDMENT NUMBER 4 TO THE INVESTMENT MANAGEMENT AGREEMENT
FORM OF AMENDMENT NUMBER 4
TO THE
INVESTMENT MANAGEMENT AGREEMENT
This AMENDMENT NUMBER 4 (the “Amendment”) amends that certain INVESTMENT MANAGEMENT AGREEMENT, dated March 8, 2017, by and between Hartford Funds Management Company, LLC (the “Adviser”), and Hartford Funds Exchange-Traded Trust (the “Trust”) (the “Agreement”), on its own behalf and on behalf of each series listed on Schedule A hereto (each a “Fund”), and is effective as of November 2, 2021 (the “Effective Date”).
WHEREAS, the Adviser and the Trust desire to amend Schedules A and B of the Agreement to reflect adding a new Fund, Hartford Large Cap Growth ETF, as described herein and approved by the Board of Trustees (the “Board”) at its meeting held on August 3-4, 2021;
NOW, THEREFORE, the parties to the Agreement hereby agree as follows:
| 1. | Pursuant to Section 14 of the Agreement, Schedules A and B are deleted in their entirety and replaced with the attached amended Schedules A and B to the Agreement. |
| 2. | The changes to Schedules A and B of the Agreement reflected in this Amendment shall become effective as of the respective Effective Date reflected in this Amendment. |
| 3. | Except as amended by this Amendment, the terms of the Agreement remain unchanged and may be further modified only by mutual written agreement of the parties and the approval of the Board. |
| 4. | This Amendment may be executed by the parties hereto on any number of counterparts, and all of such counterparts taken together shall be deemed to constitute one and the same instrument. |
[signatures follow on next page]
IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first above written.
| HARTFORD FUNDS MANAGEMENT COMPANY, LLC |
|
By: Xxxxxxx X. Xxxxx |
| Title: Chief Financial Officer |
| HARTFORD FUNDS EXCHANGE-TRADED TRUST |
| on behalf of each of its series listed on |
| Schedule A |
|
By: Xxxxxx X. Xxxxxxxx |
| Title: Vice President |
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Schedule A
List of Portfolios
This Schedule A to that certain Investment Management Agreement by and between Hartford Funds Management Company, LLC and Hartford Funds Exchange-Traded Trust, dated March 8, 2017, is effective as of November 2, 2021.
HARTFORD FUNDS EXCHANGE-TRADED TRUST ON BEHALF OF:
Hartford Core Bond ETF
Hartford Large Cap Growth ETF1
Hartford Municipal Opportunities ETF
Hartford Schroders Commodity Strategy ETF2
Hartford Schroders ESG US Equity ETF3
Hartford Schroders Tax-Aware Bond ETF
Hartford Short Duration ETF
Hartford Sustainable Income ETF4
Hartford Total Return Bond ETF
1 Effective November 2, 2021. Approved by written consent of the sole initial shareholder on October 29, 2021.
2 Effective September 7, 2021. Approved by written consent of the sole initial shareholder on September 3, 2021.
3 Effective August 2, 2021. Approved by written consent of the sole initial shareholder on July 30, 2021.
4 Effective September 14, 2021. Approved by written consent of the sole initial shareholder on September 14, 2021.
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Schedule B
Fees
This Schedule B to that certain Investment Management Agreement by and between Hartford Funds Management Company, LLC and Hartford Funds Exchange-Traded Trust, dated March 8, 2017, is effective as of November 2, 2021.
As compensation for the services rendered by the Adviser, each Portfolio shall pay to the Adviser as promptly as possible after the last day of each month during the term of this Agreement, a fee accrued daily and paid monthly based upon the following annual rates calculated based on the average daily net asset value of the applicable Portfolio:
HARTFORD FUNDS EXCHANGE-TRADED TRUST ON BEHALF OF:
Hartford Core Bond ETF
Annual Fee Rate
0.2900%
Hartford Large Cap Growth ETF
Annual Fee Rate
0.5900%
Hartford Municipal Opportunities ETF
Annual Fee Rate
0.2900%
Hartford Schroders Commodity Strategy ETF5
Annual Fee Rate
0.8900%
Hartford Schroders ESG US Equity ETF
Annual Fee Rate
0.3900%
Hartford Schroders Tax-Aware Bond ETF
Annual Fee Rate
0.3900%
(continued)
5 Subject to a contractual management fee waiver arrangement (“Fee Waiver”). For terms of the Fee Waiver, see the Fee and Expense Waiver Agreement dated September 7, 2021 (HFMC document number 210,083,872)
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Schedule B Fees (continued)
Hartford Short Duration ETF
Annual Fee Rate
0.2900%
Hartford Sustainable Income ETF
Annual Fee Rate
0.5400%
Hartford Total Return Bond ETF
Annual Fee Rate
0.2900%
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