Fifth Amendment to the Selling and Services Agreement and Fund Participation Agreement
Exhibit 24(b)(8.90)
Fifth Amendment to the Selling and Services Agreement and Fund Participation Agreement
This Fifth Amendment dated as of December 1, 2014 is made by and between Voya Retirement Insurance and Annuity Company (“Voya Retirement”), Voya Institutional Plan Services, LLC (“Voya Institutional”), Voya Financial Partners, LLC (“Voya Financial”) (collectively “Voya”), 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, April 24, 2009 November 16, 2009, and February 1, 2013. Terms defined in the Agreement are used herein as therein defined.
.
W I T N E S S E T H:
WHEREAS, Voya 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”);
WHEREAS, effective September 1, 2014, ING Financial Advisers, LLC was renamed Voya Financial Partners, LLC.; ING Life Insurance and Annuity Company was renamed Voya Retirement Insurance and Annuity Company; and ING Institutional Plan Services, LLC was renamed Voya Institutional Plan Services, LLC.
WHEREAS, Voya 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.
* * *
1
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.
Voya Retirement Insurance and Annuity NYLIM Service Company LLC
Company
By: /s/Xxxx Xxxxxxx By: /s/Xxxxx X. Xxxxxxxx
Name: Xxxx Xxxxxxx Name: Xxxxx X. Xxxxxxxx
Title: Vice President Title: President
Voya Financial Partners, LLC NYLIFE Distributors LLC
By: /s/Xxxxx Xxxxxxx, IV By: /s/Xxxxxxx X. Xxxxxx
Name: Xxxxx Xxxxxxx, IV Name: Xxxxxxx X. Xxxxxx
Title: President & CEO Title: CEO
Voya Institutional Plan Services, LLC
By: /s/Xxxx Xxxxxxx
Name: Xxxx Xxxxxxx
Title: Vice President
2
Schedule C
MainStay Funds Investor Class Shares
Service Organization’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 |
TICKER |
|
MainStay Balanced Fund |
MBINX |
|
MainStay Cornerstone Growth Fund |
KLGNX |
|
MainStay Epoch Global Choice Fund |
EPAIX |
|
MainStay Epoch Global Equity Yield Fund |
EPSIX |
|
MainStay Epoch International Small Cap Fund |
EPIIX |
|
MainStay Epoch U.S. All Cap Fund |
MAWNX |
|
MainStay Epoch U.S. Equity Yield Fund |
EPLIX |
|
MainStay High Yield Corp. Bond Fund |
MHHIX |
|
MainStay ICAP Equity Fund |
ICANX |
|
MainStay ICAP Global |
ICGNX |
|
MainStay ICAP International Fund |
ICELX |
|
MainStay ICAP Select Equity Fund |
ICSOX |
|
MainStay International Equity Fund |
MINNX |
|
MainStay Large Cap Growth Fund |
MLINX |
|
MainStay Map Fund |
MSMIX |
|
MainStay Marketfield Fund |
MFNDX |
|
MainStay U.S. Equity Opportunities |
MYCNX |
|
MainStay U.S. Small Cap Fund |
MOINX |
Service Organization’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 |
TICKER |
|
MainStay Common Stock Fund |
MCSSX |
|
MainStay Conservative Allocation Fund |
MCKNX |
|
MainStay Convertible Fund |
MCINX |
|
MainStay Xxxxxxx MLP Premier Fund |
CSHNX |
|
MainStay Xxxxxxx Renaissance Advantage Fund |
CRZNX |
|
MainStay Xxxxxxx Royalty Energy Income Fund |
CURNX |
|
MainStay Emerging Markets Opportunities Fund |
MEOVX |
|
MainStay Floating Rate Fund |
MXFNX |
|
MainStay Global High Inc Fund |
MGHHX |
|
MainStay Government Fund |
MGVNX |
|
MainStay Growth Allocation Fund |
MGXNX |
|
MainStay Income Builder Fund |
MTINX |
|
MainStay Indexed Bond Fund |
MIXNX |
|
MainStay Moderate Allocation Fund |
MMRDX |
|
MainStay Moderate Growth Allocation Fund |
MGDNX |
|
MainStay Retirement 2010 Fund |
MYRDX |
|
MainStay Retirement 2020 Fund |
MYRYX |
|
MainStay Retirement 2030 Fund |
MRTFX |
|
MainStay Retirement 2040 Fund |
MSRUX |
|
MainStay Retirement 2050 Fund |
MSRVX |
|
MainStay S&P 500 Index Fund |
MYSPX |
|
MainStay Short Term Bond Fund |
MYTBX |
|
MainStay Tax Free Bond Fund |
MKINX |
|
MainStay Total Return Bond Fund |
MTMNX |
|
MainStay Unconstrained Bond Fund |
MSYDX |
3
MainStay Funds Class A Shares
(For those existing Plans whose Fund Schedules included Class A Shares prior to September 30, 2008.)
Service Organization’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 |
TICKER |
|
MainStay Balanced Fund |
MBNAX |
|
MainStay Cornerstone Growth Fund |
KLGAX |
|
MainStay Epoch Global Choice Fund |
EPAPX |
|
MainStay Epoch Global Equity Yield Fund |
EPSPX |
|
MainStay Epoch International Small Cap Fund |
EPIPX |
|
MainStay Epoch U.S. All Cap Fund |
MAAAX |
|
MainStay Epoch U.S. Equity Yield Fund |
EPLPX |
|
MainStay Growth Equity Fund |
MREAX |
|
MainStay High Yield Corporate Bond Fund |
MHCAX |
|
MainStay ICAP Equity Fund |
ICAUX |
|
MainStay ICAP Global |
ICGLX |
|
MainStay ICAP International Fund |
ICEVX |
|
MainStay ICAP Select Equity |
ICSRX |
|
MainStay International Equity Fund |
MSEAX |
|
MainStay Large Cap Growth Fund |
MLAAX |
|
MainStay MAP Fund |
MAPAX |
|
MainStay Marketfield Fund |
MFADX |
|
MainStay U.S. Equity Opportunities Fund |
MYCTX |
|
MainStay U.S. Small Cap Fund |
MOPAX |
Service Organization’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 |
TICKER |
|
MainStay Common Stock Fund |
MSOAX |
|
MainStay Conservative Allocation |
MCKAX |
|
MainStay Convertible Fund |
MCOAX |
|
MainStay Xxxxxxx MLP Premier Fund |
CSHAX |
|
MainStay Xxxxxxx Renaissance Advantage Fund |
CRZAX |
|
MainStay Xxxxxxx Royalty Energy Income Fund |
CURAX |
|
MainStay Emerging Markets Opportunities Fund |
MEOAX |
|
MainStay Floating Rate Fund |
MXFAX |
|
MainStay Global High Income Fund |
MGHAX |
|
MainStay Government Fund |
MGVAX |
|
MainStay Growth Allocation |
MGXAX |
|
MainStay Income Builder Fund |
MTRAX |
|
MainStay Indexed Bond Fund |
MIXAX |
|
MainStay Moderate Allocation |
MMRAX |
|
MainStay Moderate Growth Allocation |
MGDAX |
|
MainStay Retirement 2010 Fund |
MYRAX |
|
MainStay Retirement 2020 Fund |
MYROX |
|
MainStay Retirement 2030 Fund |
MRTTX |
|
MainStay Retirement 2040 Fund |
MSRTX |
|
MainStay Retirement 2050 Fund |
MSRLX |
|
MainStay S&P 500 Index Fund |
MSXAX |
|
MainStay Short Term Bond Fund |
MSTAX |
|
MainStay Tax Free Bond Fund |
MTBAX |
|
MainStay Total Return Bond Fund |
MTMAX |
|
MainStay Unconstrained Bond Fund |
MASAX |
4
MainStay Funds Class I Shares
Service Organization’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 |
TICKER |
|
MainStay Balanced Fund |
MBAIX |
|
MainStay Cornerstone Growth Fund |
KLGIX |
|
MainStay Epoch Global Choice Fund |
EPACX |
|
MainStay Epoch Global Equity Yield Fund |
EPSYX |
|
MainStay Epoch International Small Cap Fund |
EPIEX |
|
MainStay Epoch U.S. All Cap Fund |
MATIX |
|
MainStay Epoch U.S. Equity Yield Fund |
EPLCX |
|
MainStay Growth Equity Fund |
MRIEX |
|
MainStay High Yield Corporate Bond Fund |
MHYIX |
|
MainStay ICAP Equity Fund |
ICAEX |
|
MainStay ICAP Global |
ICGRX |
|
MainStay ICAP International Fund |
ICEUX |
|
MainStay ICAP Select Equity Fund |
ICSLX |
|
MainStay International Equity Fund |
MSIIX |
|
MainStay Large Cap Growth Fund |
MLAIX |
|
MainStay MAP Fund |
MUBFX |
|
MainStay Marketfield Fund |
MFLDX |
|
MainStay U.S. Equity Opportunities Fund |
MYCIX |
|
MainStay U.S. Small Cap Fund |
MOPIX |
5
Service Organization’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 |
TICKER |
|
MainStay Common Stock Fund |
MSOIX |
|
MainStay Conservative Allocation |
MCKIX |
|
MainStay Xxxxxxx MLP Premier Fund |
CSHZX |
|
MainStay Xxxxxxx Renaissance Advantage Fund |
CRZZX |
|
MainStay Xxxxxxx Royalty Energy Income Fund |
CURZX |
|
MainStay Emerging Markets Opportunities Fund |
MEOIX |
|
MainStay Floating Rate Fund |
MXFIX |
|
MainStay Government Fund |
MGOIX |
|
MainStay Growth Allocation |
MGXIX |
|
MainStay Income Builder Fund |
MTOIX |
|
MainStay Indexed Bond Fund |
MIXIX |
|
MainStay Moderate Allocation |
MMRIX |
|
MainStay Moderate Growth Allocation |
MGDIX |
|
MainStay Retirement 2010 Fund |
MYRIX |
|
MainStay Retirement 2020 Fund |
MYRTX |
|
MainStay Retirement 2030 Fund |
MRTIX |
|
MainStay Retirement 2040 Fund |
MSRYX |
|
MainStay Retirement 2050 Fund |
MSRMX |
|
MainStay S&P 500 Index Fund |
MSPIX |
|
MainStay Short Term Bond Fund |
MSTIX |
|
MainStay Total Return Bond Fund |
MTMIX |
|
MainStay Unconstrained Bond Fund |
MSDIX |
MainStay Funds Class R1 Shares
Service Organization’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 |
TICKER |
|
MainStay Balanced Fund |
MBNRX |
|
MainStay High Yield Corporate Bond Fund |
MHHRX |
|
MainStay ICAP Equity Fund |
ICAWX |
|
MainStay ICAP International Fund |
ICETX |
|
MainStay ICAP Select Equity Fund |
ICSWX |
|
MainStay International Equity |
MIERX |
|
MainStay Large Cap Growth Fund |
MLRRX |
|
MainStay MAP Fund |
MAPRX |
|
MainStay Retirement 2010 Fund |
MYRRX |
|
MainStay Retirement 2020 Fund |
MYRUX |
|
MainStay Retirement 2030 Fund |
MRTOX |
|
MainStay Retirement 2040 Fund |
MSREX |
|
MainStay Retirement 2050 Fund |
MSROX |
|
MainStay Total Return Bond Fund |
MTMRX |
|
MainStay U.S. Small Cap Fund |
MOPRX |
6
MainStay Funds Class R2 Shares
Service Organization’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 |
TICKER |
|
MainStay Balanced Fund |
MBCRX |
|
MainStay Common Stock Fund |
MSORX |
|
MainStay Cornerstone Growth Fund |
KLGRX |
|
MainStay Epoch Global Equity Yield Fund |
EPSZX |
|
MainStay High Yield Corporate Bond Fund |
MHYRX |
|
MainStay ICAP Equity Fund |
ICAYX |
|
MainStay ICAP International Fund |
ICEYX |
|
MainStay ICAP Select Equity Fund |
ICSYX |
|
MainStay International Equity |
MIRRX |
|
MainStay Large Cap Growth Fund |
MLRTX |
|
MainStay MAP Fund |
MPRRX |
|
MainStay Marketfield Fund |
MFRDX |
|
MainStay Retirement 2010 Fund |
MYRWX |
|
MainStay Retirement 2020 Fund |
MYRVX |
|
MainStay Retirement 2030 Fund |
MRTUX |
|
MainStay Retirement 2040 Fund |
MSRQX |
|
MainStay Retirement 2050 Fund |
MSRPX |
|
MainStay Total Return Bond Fund |
MTRTX |
|
MainStay U.S. Small Cap Fund |
MOTRX |
|
MainStay Unconstrained Bond Fund |
MSIRX |
MainStay Funds Class R3 Shares
Service Organization’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 |
TICKER |
|
MainStay Balanced Fund |
MBDRX |
|
MainStay ICAP Equity Fund |
ICAZX |
|
MainStay ICAP International Fund |
ICEZX |
|
MainStay ICAP Select Equity Fund |
ICSZX |
|
MainStay International Equity |
MIFRX |
|
MainStay Large Cap Growth Fund |
MLGRX |
|
MainStay MAP Fund |
MMAPX |
|
MainStay Retirement 2010 Fund |
MYREX |
|
MainStay Retirement 2020 Fund |
MYRZX |
|
MainStay Retirement 2030 Fund |
MRTVX |
|
MainStay Retirement 2040 Fund |
MSRZX |
|
MainStay Retirement 2050 Fund |
MSRWX |
7
MainStay Funds Class R6 Shares
The parties agree that no compensation shall be paid with respect to accounts in Class R6 shares.
|
Fund Name |
TICKER |
|
MainStay Epoch Global Equity Yield Fund |
EPSRX |
|
MainStay High Yield Corporate Bond Fund |
MHYSX |
|
MainStay ICAP Select Equity Fund |
ICSDX |
|
MainStay Large Cap Growth Fund |
MLRSX |
|
MainStay Marketfield Fund |
MFRIX |
|
MainStay Total Return Bond Fund |
MTRDX |
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