FIFTH AMENDMENT TO SELLING AND SERVICES AGREEMENT
Exhibit 24(b)(8.133)
FIFTH AMENDMENT
TO SELLING AND SERVICES AGREEMENT
This Fifth Amendment dated November 1, 2011 is made to Selling and Services Agreement (“Amendment”) between Xxxx Xxxxx Investor Services, LLC, (the “Distributor”, “We” or “Us”) and ING Life Insurance and Annuity Company (formerly Aetna Life Insurance and Annuity Company) (“ILIAC”), ING Institutional Plan Services, LLC (“ING Institutional”) and ING Financial Advisers, LLC (formerly Aetna Investment Services, Inc.) (“ING Financial”) (collectively “ING”, “You” or “Your”), and with the Distributor (the “Parties”).
WHEREAS, the Parties entered into a Selling and Services Agreement dated February 1, 2001, as amended December 31, 2004, August 5, 2009, December 4, 2009 and March 1, 2011 (the “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;
WHEREAS, the Parties desire to amend the Agreement;
NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:
1. Appendix I, attached hereto, is hereby added to the Agreement. Your compensation will be as shown in Appendix I for those funds and shares of funds listed in such Appendix.
2. Schedule A of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule A of the Agreement. Your compensation will be as shown in Schedule A for those funds and shares of funds listed in such Schedule.
3. Paragraph 3. Redemption Fees. of the Fourth Amendment to Selling and Services Agreement dated March 1, 2011 is hereby deleted in its entirety.
4. Other Terms.
Other than the foregoing, all other terms and conditions of the Agreement shall remain unchanged and in full force and effect and are ratified and confirmed in all respects by the Parties to this Amendment.
For the purpose of referring to this Amendment, the date of this Amendment shall be the date of acceptance by Xxxx Xxxxx Investor Services, LLC.
Xxxx Xxxxx Investor Services, LLC ING Life Insurance and Annuity Company
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By: |
/s/Xxxxxxxx X’Xxxx |
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By: |
/s/Xxxxxxxx Xxxxxxxxx |
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Name: |
XXXXXXXX X’XXXX |
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Name: |
Xxxxxxxx Xxxxxxxxx |
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Title: |
MANAGING DIRECTOR |
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Title: |
VP |
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Date: |
11/14/11 |
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Date: |
Nov. 2, 2011 |
ING Institutional Plan Services, LLC
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By: |
/s/Xxxxxxxx Xxxxxxxxx |
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Name: |
Xxxxxxxx Xxxxxxxxx |
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Title: |
VP |
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Date: |
Nov. 2, 2011 |
ING Financial Advisers, LLC
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By: |
/s/Xxxxx Xxxxxx |
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Name: |
Xxxxx Xxxxxx |
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Title: |
COO/VP |
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Date: |
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APPENDIX I
The following funds and shares of funds are attributable only to those Plans for which ING Institutional serves as recordkeeper and that hold those shares of funds as of the date of this Amendment or to those Plans previously record kept on the ING Institutional recordkeeping system (Heritage Citistreet) and are now record kept by another ING affiliated platform.
The Pricing Below is Applicable to the 401(k) Advisor Program Only:
Xxxx Xxxxx (formerly Xxxx Xxxxx Partners) Class D – Funds with annual compensation on assets of xx bps comprised of recordkeeping fees of xx bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch S&P 500 Index Fund |
D |
SBSDX |
00000X000 |
Xxxx Xxxxx (formerly Xxxx Xxxxx Partners) - Money Market Funds - Class A – Funds with annual compensation on assets of xx bps comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xx bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Government Money Market Fund |
A |
SMGXX |
00000X000 |
The Pricing Below is Applicable to the Class A Grandfathered (k)Choice Program Plans Only:
Xxxx Xxxxx (formerly Xxxx Xxxxx Partners) Class A –Funds with annual compensation on assets of xx bps comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xx bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch S&P 500 Index Fund |
A |
SBSPX |
00000X000 |
Xxxx Xxxxx (formerly Xxxx Xxxxx Partners) - Money Market Funds - Class A – Funds with annual compensation on assets of xx.x bps comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xx.x bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Money Market Fund |
A |
SBCXX |
00000X000 |
Xxxx Xxxxx (formerly Xxxx Xxxxx Partners) Class A – Funds with annual compensation on assets comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xx bps and $xx per participant account. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Xxxxxxx Financial Services Fund |
A |
SBFAX |
00000X000 |
|
Xxxx Xxxxx Batterymarch Global Equity Fund |
A |
CFIPX |
00000X000 |
|
Xxxx Xxxxx Capital Management All Cap Fund |
A |
SPAAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Aggressive Growth Fund |
A |
SHRAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Appreciation Fund |
A |
SHAPX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Diversified Large Cap Growth Fund |
A |
CFLGX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Equity Income Builder Fund |
A |
SOPAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Fundamental All Cap Value Fund |
A |
SHFVX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Growth Fund |
A |
SBLGX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Value Fund |
A |
SINAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Mid Cap Core Fund |
A |
SBMAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
A |
SASMX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Value Fund |
A |
SBVAX |
00000X000 |
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Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
A |
SBIEX |
00000X000 |
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Xxxx Xxxxx Investment Counsel Social Awareness Fund |
A |
SSIAX |
00000X000 |
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Xxxx Xxxxx Lifestyle Allocation 30% |
A |
SBCPX |
00000X000 |
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Xxxx Xxxxx Lifestyle Allocation 50% |
A |
SBBAX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 70% |
A |
SCGRX |
00000X000 |
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Xxxx Xxxxx Lifestyle Allocation 85% |
A |
SCHAX |
00000X000 |
|
Xxxx Xxxxx Western Asset Core Plus Bond Fund |
A |
SHMGX |
00000X000 |
|
Xxxx Xxxxx Western Asset Corporate Bond Fund |
A |
SIGAX |
00000X000 |
|
Xxxx Xxxxx Western Asset Global High Yield Bond Fund |
A |
SAHYX |
00000X000 |
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Xxxx Xxxxx Western Asset Mortgage Backed Securities Fund |
A |
SGVAX |
00000X000 |
|
Xxxx Xxxxx Western Asset High Income Fund |
A |
SHIAX |
00000X000 |
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Xxxx Xxxxx Western Asset Short-Term Bond Fund |
A |
SBSTX |
00000X000 |
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Xxxx Xxxxx Western Asset Strategic Income Fund |
A |
SDSAX |
00000X000 |
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Xxxx Xxxxx Batterymarch U.S. Small Cap Equity Portfolio |
A |
LMBAX |
524673100 |
SCHEDULE A
€Xxxx Xxxxx Class A – Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch Global Equity Fund |
A |
CFIPX |
00000X000 |
|
Xxxx Xxxxx Capital Management All Cap Fund |
A |
SPAAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Aggressive Growth Fund |
A |
SHRAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Appreciation Fund |
A |
SHAPX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Diversified Large Cap Growth Fund |
A |
CFLGX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Equity Fund |
A |
LMQAX |
524695202 |
|
Xxxx Xxxxx ClearBridge Equity Income Builder Fund |
A |
SOPAX |
00000X000 |
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Xxxx Xxxxx ClearBridge Fundamental All Cap Value Fund |
A |
SHFVX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Value Fund |
A |
SINAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Growth Fund |
A |
SBLGX |
00000X000 |
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Xxxx Xxxxx ClearBridge Mid Cap Core Fund |
A |
SBMAX |
00000X000 |
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Xxxx Xxxxx ClearBridge Mid Cap Growth Fund |
A |
LBGAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
A |
SASMX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Value Fund |
A |
SBVAX |
00000X000 |
|
Xxxx Xxxxx Esemplia Emerging Markets Equity Fund |
A |
SMKAX |
00000X000 |
|
Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
A |
SBIEX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
A |
SBFAX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
A |
SSIAX |
00000X000 |
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Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
A |
LPTAX |
00000X000 |
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Xxxx Xxxxx Western Asset Adjustable Rate Income Fund |
A |
ARMZX |
00000X000 |
|
Xxxx Xxxxx Western Asset Core Bond Fund |
A |
TRBAX |
00000X000 |
|
Xxxx Xxxxx Western Asset Core Plus Bond Fund |
A |
SHMGX |
00000X000 |
|
Xxxx Xxxxx Western Asset Corporate Bond Fund |
A |
SIGAX |
00000X000 |
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Xxxx Xxxxx Western Asset Global High Yield Bond Fund |
A |
SAHYX |
00000X000 |
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Xxxx Xxxxx Western Asset Global Inflation Management Fund |
A |
SBGLX |
00000X000 |
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Xxxx Xxxxx Western Asset Mortgage Backed Securities Fund |
A |
SGVAX |
00000X000 |
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Xxxx Xxxxx Western Asset High Income Fund |
A |
SHIAX |
00000X000 |
|
Xxxx Xxxxx Western Asset Short-Term Bond Fund |
A |
SBSTX |
00000X000 |
|
Xxxx Xxxxx Western Asset Strategic Income Fund |
A |
SDSAX |
00000X000 |
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Western Asset Emerging Markets Debt Portfolio |
A |
LWEAX |
00000X000 |
€Xxxx Xxxxx Class A – Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Target Retirement 2015 Fund |
A |
LMFAX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2020 Fund |
A |
LMWAX |
00000X000 |
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Xxxx Xxxxx Target Retirement 2025 Fund |
A |
LMXAX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2030 Fund |
A |
LMVAX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2035 Fund |
A |
LMNAX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2040 Fund |
A |
LMYAX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2045 Fund |
A |
LMKAX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2050 Fund |
A |
LMJAX |
00000X000 |
|
Xxxx Xxxxx Target Retirement Fund |
A |
LMPAX |
00000X000 |
|
Xxxx Xxxxx Batterymarch Emerging Markets Trust |
A |
LMRAX |
00000X000 |
|
Xxxx Xxxxx Batterymarch International Equity Trust |
A |
LMEAX |
00000X000 |
|
@Xxxx Xxxxx Batterymarch U.S. Small Cap Equity Portfolio |
A |
LMBAX |
524673100 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
A |
LROAX |
524686722 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
A |
LBWAX |
524686789 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
A |
GOBAX |
524673407 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
A |
LWOAX |
524686656 |
|
Xxxx Xxxxx Capital Management Disciplined Equity Research Fund |
A |
LCDAX |
524686854 |
|
Xxxx Xxxxx Capital Management Growth Trust |
A |
LGGAX |
00000X000 |
|
Xxxx Xxxxx Capital Management Opportunity Trust |
A |
LGOAX |
00000X000 |
|
Xxxx Xxxxx Capital Management Special Investment Trust |
A |
LMSAX |
524904505 |
|
Xxxx Xxxxx Capital Management Value Trust |
A |
LGVAX |
524659505 |
|
Xxxx Xxxxx Strategic Real Return Fund |
A |
LRRAX |
524686607 |
€Xxxx Xxxxx Class A – Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Lifestyle Allocation 30% |
A |
SBCPX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 50% |
A |
SBBAX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 70% |
A |
SCGRX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 85% |
A |
SCHAX |
00000X000 |
Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch S&P 500 Index Fund |
A |
SBSPX |
00000X000 |
∆Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch Global Equity Fund |
C |
SILLX |
00000X000 |
|
Xxxx Xxxxx Capital Management All Cap Fund |
C |
SPBLX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Aggressive Growth Fund |
C |
SAGCX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Appreciation Fund |
C |
SAPCX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Diversified Large Cap Growth Fund |
C |
SMDLX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Equity Fund |
C |
LMQCX |
524695400 |
|
Xxxx Xxxxx ClearBridge Equity Income Builder Fund |
C |
SBPLX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Fundamental All Cap Value Fund |
C |
SFVCX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Value Fund |
C |
SINOX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Growth Fund |
C |
SLCCX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Mid Cap Core Fund |
C |
SBMLX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Mid Cap Growth Fund |
C |
LBGCX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
C |
SCSMX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Value Fund |
C |
SBVLX |
00000X000 |
|
Xxxx Xxxxx Esemplia Emerging Markets Equity Fund |
C |
SBKCX |
00000X000 |
|
Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
C |
SBICX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
C |
SFSLX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
C |
SESLX |
00000X000 |
|
Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
C |
LPTCX |
00000X000 |
|
Xxxx Xxxxx Western Asset Adjustable Rate Income Fund |
C |
ARMGX |
00000X000 |
|
Xxxx Xxxxx Western Asset Core Bond Fund |
C |
SBTLX |
00000X000 |
|
Xxxx Xxxxx Western Asset Core Plus Bond Fund |
C |
SMGLX |
00000X000 |
|
Xxxx Xxxxx Western Asset Corporate Bond Fund |
C |
SBILX |
00000X000 |
|
Xxxx Xxxxx Western Asset Global High Yield Bond Fund |
C |
SHYCX |
00000X000 |
|
Xxxx Xxxxx Western Asset Global Inflation Management Fund |
C |
SBUFX |
00000X000 |
|
Xxxx Xxxxx Western Asset Mortgage Backed Securities Fund |
C |
SGSLX |
00000X000 |
|
Xxxx Xxxxx Western Asset High Income Fund |
C |
SHICX |
00000X000 |
|
Xxxx Xxxxx Western Asset Short-Term Bond Fund |
C |
SSTLX |
00000X000 |
|
Xxxx Xxxxx Western Asset Strategic Income Fund |
C |
SDSIX |
00000X000 |
|
Western Asset Emerging Markets Debt Portfolio |
C |
LWECX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2015 Fund |
C |
LMFCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2020 Fund |
C |
LMWCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2025 Fund |
C |
LMXCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2030 Fund |
C |
LMVCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2035 Fund |
C |
LMTCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2040 Fund |
C |
LMHCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2045 Fund |
C |
LMKCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2050 Fund |
C |
LMJCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement Fund |
C |
LMRCX |
00000X000 |
∆Xxxx Xxxxx Class C – Funds with annual compensation on assets comprised of 12b-1 per the then current prospectus and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch Emerging Markets Trust |
C |
LMEMX |
00000X000 |
|
Xxxx Xxxxx Batterymarch International Equity Trust |
C |
LMGEX |
00000X000 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
C |
LROCX |
524686714 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
C |
LBWCX |
524686771 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
C |
GOBCX |
524673506 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
C |
LWOCX |
524686649 |
|
Xxxx Xxxxx Capital Management Disciplined Equity Research Fund |
C |
LCDCX |
524686847 |
|
Xxxx Xxxxx Capital Management Growth Trust |
C |
LMGTX |
00000X000 |
|
Xxxx Xxxxx Capital Management Opportunity Trust |
C |
LMOPX |
00000X000 |
|
Xxxx Xxxxx Capital Management Special Investment Trust |
C |
LMASX |
524904109 |
|
Xxxx Xxxxx Capital Management Value Trust |
C |
LMVTX |
524659109 |
|
Xxxx Xxxxx Strategic Real Return Fund |
C |
LRRCX |
524686706 |
∆Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Lifestyle Allocation 30% |
C |
SBCLX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 50% |
C |
SCBCX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 70% |
C |
SCGCX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 85% |
C |
SCHCX |
00000X000 |
Xxxx Xxxxx Class D - Funds with annual compensation on assets comprised of recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch S&P 500 Index Fund |
D |
SBSDX |
00000X000 |
€Xxxx Xxxxx Class FI – Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch Emerging Markets Trust |
FI |
LGFMX |
00000X000 |
|
Xxxx Xxxxx Batterymarch International Equity Trust |
FI |
LGFEX |
00000X000 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
FI |
LBAFX |
524686698 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
FI |
GOBFX |
00000X000 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
FI |
LWOFX |
524686300 |
|
Xxxx Xxxxx Capital Management Growth Trust |
FI |
LMGFX |
00000X000 |
|
Xxxx Xxxxx Capital Management Opportunity Trust |
FI |
LMOFX |
00000X000 |
|
Xxxx Xxxxx Capital Management Special Investment Trust |
FI |
LGASX |
524904307 |
Xxxx Xxxxx Class I – Funds with annual compensation on assets comprised of recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch Global Equity Fund |
I |
SMYIX |
00000X000 |
|
Xxxx Xxxxx Capital Management All Cap Fund |
I |
LACIX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Aggressive Growth Fund |
I |
SAGYX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Appreciation Fund |
I |
SAPYX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Diversified Large Cap Growth Fund |
I |
LADIX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Equity Fund |
I |
LMQIX |
524695509 |
|
Xxxx Xxxxx ClearBridge Equity Income Builder Fund |
I |
SOPYX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Fundamental All Cap Value Fund |
I |
SFVYX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Value Fund |
I |
SAIFX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Growth Fund |
I |
SBLYX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Mid Cap Core Fund |
I |
SMBYX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Mid Cap Growth Fund |
I |
LBGIX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
I |
SBPYX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Value Fund |
I |
SMCYX |
00000X000 |
|
Xxxx Xxxxx Esemplia Emerging Markets Equity Fund |
I |
SBEYX |
00000X000 |
|
Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
I |
SBIYX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
I |
LMRIX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
I |
LMRNX |
00000X000 |
|
Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
I |
LPTIX |
00000X000 |
|
Xxxx Xxxxx Western Asset Adjustable Rate Income Fund |
I |
SBAYX |
00000X000 |
|
+Xxxx Xxxxx Western Asset Core Plus Bond Fund |
I |
SMGYX |
00000X000 |
|
Xxxx Xxxxx Western Asset Corporate Bond Fund |
I |
SIGYX |
00000X000 |
|
Xxxx Xxxxx Western Asset Mortgage Backed Securities Fund |
I |
SGSYX |
00000X000 |
|
+Xxxx Xxxxx Western Asset High Income Fund |
I |
SHIYX |
00000X000 |
|
+Xxxx Xxxxx Western Asset Short-Term Bond Fund |
I |
SBSYX |
00000X000 |
|
Xxxx Xxxxx Western Asset Strategic Income Fund |
I |
SDSYX |
00000X000 |
|
Western Asset Emerging Markets Debt Portfolio |
I |
SEMDX |
00000X000 |
Xxxx Xxxxx Class I – Funds with annual compensation on assets comprised of recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Target Retirement 2015 Fund |
I |
LMFIX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2020 Fund |
I |
LMWIX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2025 Fund |
I |
LMXIX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2030 Fund |
I |
LMVIX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2035 Fund |
I |
LMNIX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2040 Fund |
I |
LMNRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2045 Fund |
I |
LMKIX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2050 Fund |
I |
LMJIX |
00000X000 |
|
Xxxx Xxxxx Target Retirement Fund |
I |
LMIMX |
00000X000 |
Xxxx Xxxxx Class I – Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Lifestyle Allocation 30% |
I |
LMGIX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 50% |
I |
LMEIX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 70% |
I |
LLAIX |
00000X000 |
|
Xxxx Xxxxx Lifestyle Allocation 85% |
I |
LANIX |
00000X000 |
Xxxx Xxxxx Class I – Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Batterymarch Emerging Markets Trust |
I |
LGEMX |
00000X000 |
|
Xxxx Xxxxx Batterymarch International Equity Trust |
I |
LGIEX |
00000X000 |
|
Xxxx Xxxxx Batterymarch U.S. Small Cap Equity Portfolio |
I |
LMSIX |
502082811 |
|
Xxxx Xxxxx Capital Management Disciplined Equity Research Fund |
I |
LGMIX |
524686821 |
|
Xxxx Xxxxx Capital Management Growth Trust |
I |
LMGNX |
00000X000 |
|
Xxxx Xxxxx Capital Management Opportunity Trust |
I |
LMNOX |
00000X000 |
|
Xxxx Xxxxx Capital Management Special Investment Trust |
I |
LMNSX |
524904208 |
|
Xxxx Xxxxx Capital Management Value Trust |
I |
LMNVX |
524659208 |
|
Xxxx Xxxxx Strategic Real Return Fund |
I |
LRRIX |
524686888 |
Xxxx Xxxxx Class I – Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
I |
LROIX |
524686672 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
I |
LBWIX |
524686755 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
I |
GOBIX |
00000X000 |
|
@Xxxx Xxxxx XX International Opportunities Bond Fund |
I |
TBD |
524686409 |
Xxxx Xxxxx Class R – Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx ClearBridge Aggressive Growth Fund |
R |
LMPRX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Appreciation Fund |
R |
LMPPX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Equity Income Builder Fund |
R |
LMMRX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Large Cap Growth Fund |
R |
LMPLX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Mid Cap Core Fund |
R |
LMREX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
R |
LMPOX |
00000X000 |
|
Xxxx Xxxxx Western Asset Core Bond Fund |
R |
LMPTX |
00000X000 |
|
Xxxx Xxxxx Western Asset Core Plus Bond Fund |
R |
LMPCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2015 Fund |
R |
LMFRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2020 Fund |
R |
LMWRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2025 Fund |
R |
LMXRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2030 Fund |
R |
LMQRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2035 Fund |
R |
LMRRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2040 Fund |
R |
LMYRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2045 Fund |
R |
LMKRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2050 Fund |
R |
LMJRX |
00000X000 |
|
Xxxx Xxxxx Target Retirement Fund |
R |
LMERX |
00000X000 |
|
Xxxx Xxxxx Batterymarch Emerging Markets Trust |
R |
LBERX |
524654U821 |
|
Xxxx Xxxxx Batterymarch International Equity Trust |
R |
LMIRX |
00000X000 |
|
@Xxxx Xxxxx Batterymarch U.S. Small Cap Equity Portfolio |
R |
LMBRX |
524673308 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
R |
LBAFX |
524686680 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
R |
LBORX |
524673605 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
R |
LWORX |
524686631 |
|
Xxxx Xxxxx Capital Management Growth Trust |
R |
LMGRX |
00000X000 |
|
Xxxx Xxxxx Capital Management Opportunity Trust |
R |
LMORX |
00000X000 |
|
Xxxx Xxxxx Capital Management Special Investment Trust |
R |
LMARX |
524604406 |
|
Xxxx Xxxxx Capital Management Value Trust |
R |
LMVRX |
524659406 |
Xxxx Xxxxx Class IS – No compensation may be paid. This is a no -12b-1 share class with no recordkeeping fees or revenue share.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
X Xxxx Xxxxx Batterymarch U.S. Large Cap Equity Fund |
IS |
LMISX |
00000X000 |
|
X Xxxx Xxxxx ClearBridge Aggressive Growth Fund |
IS |
LSIFX |
00000X000 |
|
X Xxxx Xxxxx ClearBridge Appreciation Fund |
IS |
LMESX |
00000X000 |
|
X Xxxx Xxxxx ClearBridge Fundamental All Cap Value Fund |
IS |
LSISX |
00000X000 |
|
X Xxxx Xxxxx ClearBridge Large Cap Value Fund |
IS |
LMLSX |
00000X000 |
|
@X Xxxx Xxxxx ClearBridge Large Cap Growth Fund |
IS |
LSITX |
00000X000 |
|
X Xxxx Xxxxx ClearBridge Mid Cap Core Fund |
IS |
LSIRX |
00000X000 |
|
X Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
IS |
LMOIX |
00000X000 |
|
X Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
IS |
LSIUX |
00000X000 |
|
X Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
IS |
LPTSX |
00000X000 |
|
@X WA Emerging Markets Debt Portfolio |
IS |
LWISX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2015 Fund |
IS |
LMFSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2020 Fund |
IS |
LMWSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2025 Fund |
IS |
LMXSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2030 Fund |
IS |
LMVSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2035 Fund |
IS |
LMSSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2040 Fund |
IS |
LMYSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2045 Fund |
IS |
LMKSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement 2050 Fund |
IS |
LMJSX |
00000X000 |
|
X Xxxx Xxxxx Target Retirement Fund |
IS |
LMRSX |
00000X000 |
|
X Xxxx Xxxxx Batterymarch Emerging Markets Trust |
IS |
LMGSX |
00000X000 |
|
X Xxxx Xxxxx Batterymarch International Equity Trust |
IS |
LIESX |
00000X000 |
|
X Xxxx Xxxxx XX Diversified Large Cap Value Fund |
IS |
LBISX |
524686730 |
|
X Xxxx Xxxxx XX Global Opportunities Bond Fund |
IS |
GOBSX |
00000X000 |
|
X Xxxx Xxxxx XX International Opportunities Bond Fund |
IS |
LMOTX |
524686508 |
|
|
|
|
|
|
|
|
|
|
Xxxx Xxxxx Class P – Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xxbps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
%Xxxx Xxxxx Western Asset Corporate Bond Fund |
P |
LCBPX |
00000X000 |
Xxxx Xxxxx Money Market Funds – Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xx.xbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
+Western Asset Money Market Fund |
A |
SBCXX |
00000X000 |
|
Western Asset Government Money Market Fund |
A |
SMGXX |
00000X000 |
|
@Western Asset Municipal Money Market Fund |
A |
TFMXX |
00000X000 |
|
Western Asset Liquid Reserves |
A |
LLAXX |
00000X000 |
Western Asset Class FI – Funds with annual compensation on assets comprised of 12b-1 (which is currently xxbps) and recordkeeping fees of xbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Total Return Unconstrained Fund |
FI |
WARIX |
957663693 |
|
Western Asset Core Bond Portfolio |
FI |
WAPIX |
957663404 |
|
Western Asset Core Plus Bond Portfolio |
FI |
WACIX |
957663602 |
|
@Western Asset Enhanced Equity Portfolio |
FI |
TBD |
957663784 |
|
@Western Asset Global Multi-Sector Portfolio |
FI |
WGMFX |
957663727 |
|
@Western Asset High Yield Portfolio |
FI |
TBD |
957663834 |
|
@Western Asset Intermediate Bond Portfolio |
FI |
WAIFX |
957663800 |
|
@Western Asset Money Market Portfolio |
FI |
TBD |
957663768 |
|
@Western Asset Non - US Opportunity Bond Portfolio |
FI |
TBD |
957663859 |
|
@Western Asset US Govt Money Market Portfolio |
FI |
TBD |
957663743 |
Western Asset Class I –Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Total Return Unconstrained Portfolio |
I |
WAARX |
957663719 |
|
Western Asset Core Bond Portfolio |
I |
WATFX |
957663305 |
|
Western Asset Core Plus Bond Portfolio |
I |
WACPX |
957663503 |
|
@Western Asset Enhanced Equity Portfolio |
I |
TBD |
957663792 |
|
@Western Asset Global Multi-Sector Portfolio |
I |
WGMIX |
957663735 |
|
Western Asset High Yield Portfolio |
I |
WAHYX |
957663842 |
|
Western Asset Inflation Indexed Plus Bond Portfolio |
I |
WAIIX |
957663883 |
|
Western Asset Intermediate Bond Portfolio |
I |
WATIX |
957663701 |
|
Western Asset Limited Duration Bond Portfolio |
I |
WALDX |
957663107 |
|
@Western Asset Money Market Portfolio |
I |
TBD |
957663776 |
|
@Western Asset US Govt Money Market Portfolio |
I |
TBD |
957663750 |
|
Western Asset Non - US Opportunity Bond Portfolio |
I |
WAFIX |
957663867 |
Western Asset Class IS – No compensation may be paid. This is a no-12b-1 share class with no recordkeeping fees or revenue share.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
X Western Asset Total Return Unconstrained Portfolio |
IS |
WAASX |
957663685 |
|
X Western Asset Core Bond Portfolio |
IS |
WACSX |
957663677 |
|
X Western Asset Core Plus Bond Portfolio |
IS |
WAPSX |
957663669 |
|
X Western Asset Global Multi-Sector Portfolio |
IS |
WGMSX |
957663644 |
|
X Western Asset High Yield Portfolio |
IS |
WAHSX |
957663636 |
|
X Western Asset Inflation Indexed Plus Bond Portfolio |
IS |
WAFSX |
957663545 |
|
X Western Asset Intermediate Bond Portfolio |
IS |
WABSX |
957663610 |
|
X Western Asset Limited Duration Bond Portfolio |
IS |
WALSX |
957663586 |
|
@X Western Asset Non-US Opportunity Bond Portfolio |
IS |
WAOSX |
957663560 |
|
+: Available to existing investors only. |
|
%: Not exchangeable. Only existing investors can continue to invest |
|
X: Available to institutional investors only, who make an initial purchase of at least $x million and maintain a single account at the Fund. Examples of eligible investors are corporations, banks, trust companies, foundations, defined benefit plans that do not charge recordkeeping fees. Retirement plans such as 401k, 457, 403b may not charge recordkeeping fees to be eligible and need to be individually assessed as to whether they meet other eligibility requirements, at the sole discretion of the distributor. |
|
@: Currently unavailable for purchase. Please contact the distributor in advance to express sales interest or for more information, including when the share class/fund may be made available. The distributor will consider whether or not to make the requested share class/fund available for sale and may decline to do so in its sole discretion. |
|
€: For any individual Fund for which both Class A and Class F1 shares are available to investors under this Agreement, only Class F1 shares may be offered to new Retirement Plans. Class A shares may continue to be offered to any Retirement Plan that currently purchases Class A shares of that Fund or of any predecessor Fund. |
|
∆: For any individual Fund for which both Class C and Class R1 shares are available to investors under this Agreement, only Class R1 shares may be offered to new Retirement Plans. Class C shares may continue to be offered to any Retirement Plan that currently purchases Class C shares of that Fund or of any predecessor Fund. |
