FOURTH AMENDMENT TO SELLING AND SERVICES AGREEMENT
Exhibit 24(b)(8.132)
FOURTH AMENDMENT
TO SELLING AND SERVICES AGREEMENT
This Fourth Amendment to Selling and Services Agreement (“Amendment”) is entered into by and among 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”) collectively (the ''Parties”).
WHEREAS, the Parties entered into a Selling and Services Agreement dated February l, 2001, as amended December 31, 2004, August 5, 2009 and December 4, 2009, (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. Schedule A of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule A of the Agreement. Your compensation for each fund shown in this Amendment will be as shown in Schedule A.
2. Paragraph 3. Redemption Fees. of the Second Amendment to Selling and Services Agreement dated August 5, 2009 is hereby deleted in its entirety and replaced with the following:
To the extent a fund imposes a redemption fee as provided in the applicable prospectus and You choose to offer such fund, You agree to abide and comply with the terms of the relevant prospectus and/or SAI in connection with the collection of such redemption fee and the transmission in such fee to the Fund.
3. The procedure relating to the handling of orders shall be subject to provisions of this Agreement and instructions that we or the Fund shall forward from time to time to You. All orders are subject to acceptance or rejection by the applicable Fund or Us in the sole discretion of either. The minimum initial purchase and the minimum subsequent purchase of any Shares shall be as set forth in the applicable Fund Prospectus. You agree to effect all purchase, redemption or exchange orders in the manner and upon the terms described in the Fund Prospectus.
4. Customer Orders.
You agree to maintain records sufficient to identify the date and time of receipt of all customer transactions and shall make such records available upon request for examination by Distributor, or its designated representative, at the request of the transfer agent or by appropriate governmental authorities. Under no circumstances shall you change, alter or manipulate any customer transactions received by you in good order.
Page 1 of 14
5. Notices.
Notices required by this Agreement should be sent as follows:
You: c/o ILIAC/ING Financial
Xxx Xxxxxx Xxx, X0X
Xxxxxxx, XX 00000
Attn: Xxxxxxxxxx Xxxxxxx
Fax: 000-000-0000
Distributor: c/x Xxxx Xxxxx
000 Xxxxxxxx Xxxxx, 0xx Xxxxx
Xxxxxxxx, XX 00000
Attn: Business Development
Fax: 000-000-0000
6. Effectiveness of Payment Obligations.
No compensation, fees or payment obligations contemplated by this Agreement will accrue until the date that the Agreement is executed by the Distributor.
7. Addition to Paragraph 4. Servicing Fees.
The following language shall be added to the new Paragraph 4. Servicing Fees. in Paragraph 13 of the Second Amendment to Selling and Services Agreement dated August 5, 2009:
ING shall provide Distributor with an invoice for the fee, accompanied by supporting schedules, in an electronic format that can be easily manipulated. The supporting schedules shall include CUSIPS, Fund Names and share classes. ING shall provide assets, number of participant accounts, billing rate and fee calculation for each CUSIP.
8. 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.
Page 2 of 14
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/Xxxxxx Xxxxxxxxxx |
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By: |
/s/Xxxxxx Xxxxxx |
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Name: |
XXXXXX XXXXXXXXXX |
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Name: |
Xxxxxx Xxxxxx |
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Title: |
MANAGING DIRECTOR |
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Title: |
Vice President |
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Date: |
3/1/11 |
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Date: |
February 18, 2011 |
ING Institutional Plan Services, LLC
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By: |
/s/Xxxxxxxx Xxxxxxxxx, Attorney in Fact |
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Name: |
Xxxxxxxx Xxxxxxxxx, Attorney in Fact |
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Title: |
Vice President |
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Date: |
February 18, 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: |
February 18, 2011 |
Page 3 of 14
SCHEDULE A
€Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-l (which is currently xx bps) 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 |
|
Western Asset Emerging Markets Debt Portfolio |
A |
LWEAX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
A |
SBFAX |
00000X000 |
|
Xxxx Xxxxx Batterymarch Global Equity Fund |
A |
CFIPX |
00000X000 |
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Xxxx Xxxxx XX Diversified Large Cap Value Fund |
A |
LBWAX |
524686789 |
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@^Xxxx Xxxxx XX International Opportunities Bond Fund |
A |
XXX |
XXX |
|
Xxxx Xxxxx Capital Management All Cap Fund |
A |
SPAAX |
00000X000 |
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Xxxx Xxxxx ClearBridge Aggressive Growth Fund |
A |
SHRAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Appreciation Fund |
A |
SHAPX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Capital Fund |
A |
SCCAX |
524694106 |
|
Xxxx Xxxxx ClearBridge Diversified Large Cap Growth Fund |
A |
CFLGX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Dividend Strategy Fund |
A |
GROAX |
00000X000 |
|
Xxxx Xxxxx ClearBridge Equity Fund |
A |
LMQAX |
524695202 |
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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 Value Fund |
A |
SINAX |
00000X000 |
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Xxxx Xxxxx XxxxxXxxxxx Xxxxx Xxx Xxxxx,0x Fund |
A |
SBLGX |
00000X000 |
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Xxxx Xxxxx ClearBridge Mid Cap Core Fund |
A |
SBMAX |
00000X000 |
|
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 Global Currents International Small Cap Opportunity Fund |
A |
LCOAX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
A |
SSIAX |
00000X000 |
|
Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
A |
LPTAX |
00000X000 |
|
Xxxx Xxxxx Strategic Real Return Fund |
A |
LLRAX |
524686607 |
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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 |
|
Xxxx Xxxxx Western Asset Global High Yield Bond Fund |
A |
SAHYX |
00000X000 |
|
Xxxx Xxxxx Western Asset Global Inflation Management Fund |
A |
SBGLX |
00000X000 |
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Xxxx Xxxxx Western Asset Government Securities Fund |
A |
SGVAX |
00000X000 |
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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 International Equity Trust |
A |
LMEAX |
00000X000 |
Page 4 of 14
€Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (which is currently xx bps) 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 |
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Xxxx Xxxxx Target Retirement 2020 Fund |
A |
LMWAX |
00000X000 |
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Xxxx Xxxxx Target Retirement 2025 Fund |
A |
LMXAX |
00000X000 |
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Xxxx Xxxxx Target Retirement 2030 Fund |
A |
LMVAX |
00000X000 |
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Xxxx Xxxxx Target Retirement 2035 Fund |
A |
LMNAX |
00000X000 |
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Xxxx Xxxxx Target Retirement 2040 Fund |
A |
LMYAX |
00000X000 |
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Xxxx Xxxxx Target Retirement 2045 Fund |
A |
LMKAX |
00000X000 |
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Xxxx Xxxxx Target Retirement 2050 Fund |
A |
LMJAX |
00000X000 |
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Xxxx Xxxxx Target Retirement Fund |
A |
LMPAX |
00000X000 |
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^Xxxx Xxxxx Batterymarch Emerging Markets Trust |
A |
LMRAX |
00000X000 |
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^Xxxx Xxxxx XX Global Opportunities Bond Fund |
A |
GOBAX |
524673407 |
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Xxxx Xxxxx Capital Management Amer Ldg Cos Trust |
A |
LGAAX |
00000X000 |
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Xxxx Xxxxx Capital Management Growth Trust |
A |
LGGAX |
00000X000 |
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Xxxx Xxxxx Capital Management Opportunity Trust |
A |
LGOAX |
00000X000 |
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Xxxx Xxxxx Capital Management Special Investment Trust |
A |
LMSAX |
524904505 |
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Xxxx Xxxxx Capital Management Value Trust |
A |
LGVAX |
524659505 |
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Xxxx Xxxxx Capital Management Disciplined Equity Research Fund |
A |
LCDAX |
524686854 |
€Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (which is currently xx bps) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
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Xxxx Xxxxx Lifestyle Allocation 100% |
A |
LMLAX |
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 |
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Xxxx Xxxxx Lifestyle Allocation 70% |
A |
SCGRX |
00000X000 |
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Xxxx Xxxxx Lifestyle Allocation 85% |
A |
SCHAX |
00000X000 |
Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-l (which is currently xx bps) and servicing fees of xxxxx.Xxxx Name
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Fund Name |
Class |
Ticker |
CUSIP |
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Xxxx Xxxxx Batterymarch S&P 500 Index Fund |
A |
SBSPX |
00000X000 |
Page 5 of 14
∆Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus 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 Emerging Markets Debt Portfolio |
C |
LWECX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
C |
SFSLX |
00000X000 |
|
Xxxx Xxxxx Batterymarch Global Equity Fund |
C |
SILLX |
00000X000 |
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Xxxx Xxxxx XX Diversified Large Cap Value Fund |
C |
LBWCX |
524686771 |
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@^Xxxx Xxxxx XX International Opportunities Bond Fund |
C |
XXX |
XXX |
|
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 Capital Fund |
C |
SCCCX |
524694304 |
|
Xxxx Xxxxx ClearBridge Diversified Large Cap Growth Fund |
C |
SMDLX |
00000X000 |
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+Xxxx Xxxxx ClearBridge Dividend Strategy Fund |
C |
SCPLX |
00000X000 |
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Xxxx Xxxxx ClearBridge Equity Fund |
C |
LMQCX |
524695400 |
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Xxxx Xxxxx ClearBridge Equity Income Builder Fund |
C |
SBPLX |
00000X000 |
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Xxxx Xxxxx ClearBridge Fundamental All Cap Value Fund |
C |
SFVCX |
00000X000 |
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Xxxx Xxxxx ClearBridge Large Cap Value Fund |
C |
SINOX |
524701308 |
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Xxxx Xxxxx ClearBridge Large Cap Growth Fund |
C |
SLCCX |
00000X000 |
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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 |
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Xxxx Xxxxx Global Currents International Small Cap Opportunity Fund |
C |
LCOCX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
C |
SESLX |
00000X000 |
|
Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
C |
LPTCX |
524701290 |
|
Xxxx Xxxxx Strategic Real Return Fund |
C |
LRRCX |
524686706 |
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Xxxx Xxxxx Western Asset Adjustable Rate Income Fund |
C |
ARMGX |
00000X000 |
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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 Government Securities Fund |
C |
SGSLX |
00000X000 |
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Xxxx Xxxxx Western Asset High Income Fund |
C |
SHICX |
00000X000 |
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Xxxx Xxxxx Western Asset Short-Term Bond Fund |
C |
SSTLX |
00000X000 |
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Xxxx Xxxxx Western Asset Strategic Income Fund |
C |
SDSIX |
00000X000 |
Page 6 of 14
∆Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-I per the then-current prospectus 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 Target Retirement 2015 Fund |
C |
LMFCX |
524701803 |
|
Xxxx Xxxxx Target Retirement 2020 Fund |
C |
LMWCX |
524701837 |
|
Xxxx Xxxxx Target Retirement 2025 Fund |
C |
LMXCX |
00000X000 |
|
Xxxx Xxxxx Target Retirement 2030 Fund |
C |
LMVCX |
524701696 |
|
Xxxx Xxxxx Target Retirement 2035 Fund |
C |
LMTCX |
524701639 |
|
Xxxx Xxxxx Target Retirement 2040 Fund |
C |
LMHCX |
524701563 |
|
Xxxx Xxxxx Target Retirement 2045 Fund |
C |
LMKCX |
524701498 |
|
Xxxx Xxxxx Target Retirement 2050 Fund |
C |
LMJCX |
524701431 |
|
Xxxx Xxxxx Target Retirement Fund |
C |
LMRCX |
524701365 |
|
^Xxxx Xxxxx Batterymarch Emerging Markets Trust |
C |
LMEMX |
524650508 |
|
^Xxxx Xxxxx Batterymarch International Equity Trust |
C |
LMGEX |
00000X000 |
|
^Xxxx Xxxxx XX Global Opportunities Bond Fund |
C |
GOBCX |
524673506 |
|
Xxxx Xxxxx Capital Management American Leading Companies Trust |
C |
LMALX |
00000X000 |
|
Xxxx Xxxxx Capital Management Growth Trust |
C |
LMGTX |
00000X000 |
|
Xxxx Xxxxx Capital Management Opportunity Trust |
C |
LMOPX |
00000X000 |
|
Xxxx Xxxxx Capital Management Disciplined Equity Research Fund |
C |
LCDCX |
524686847 |
|
Xxxx Xxxxx Capital Management Special Investment Trust |
C |
LMASX |
524904109 |
|
Xxxx Xxxxx Capital Management Value Trust |
C |
LMVTX |
524659109 |
∆Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xx bps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx Lifestyle Allocation 100% |
C |
LMYCX |
00000X000 |
|
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 |
Page 7 of 14
Xxxx Xxxxx Class D - Funds with annual compensation on assets comprised of recordkeeping fees of xx bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.
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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 xx bps) and recordkeeping fees of xx bps.
|
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 Global Opportunities Bond Fund |
FI |
GOBFX |
379470209 |
|
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 Capital Management Value Trust |
FI |
LMVFX |
524659307 |
|
@Xxxx Xxxxx Capital Management Disciplined Equity Research Fund |
FI |
TBD |
524686839 |
Xxxx Xxxxx Class I - Funds with annual compensation on assets comprised of recordkeeping fees of 30 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 Emerging Markets Debt Portfolio |
I |
SEMDX |
00000X000 |
|
|
Western Asset Global High Yield Bond Portfolio |
I |
SIHYX |
00000X000 |
|
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
I |
TBD |
00000X000 |
|
|
Xxxx Xxxxx Batterymarch Global Equity Fund |
I |
SMYIX |
00000X000 |
|
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
I |
LBWIX |
524686755 |
|
|
@^Xxxx Xxxxx XX International Opportunities Bond Fund |
I |
TBD |
524686409 |
|
|
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 Capital Fund |
I |
SACPX |
524694403 |
|
|
Xxxx Xxxxx ClearBridge Diversified Large Cap Growth Fund |
I |
LADIX |
00000X000 |
|
|
Xxxx Xxxxx ClearBridge Dividend Strategy Fund |
I |
LMBIX |
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 |
|
Page 8 of 14
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Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
I |
SBPYX |
524708765 |
|
Xxxx Xxxxx ClearBridge Small Cap Value Fund |
I |
SMCYX |
00000X000 |
|
Xxxx Xxxxx Esemplia Emerging Markets Equity Fund |
I |
SBEYX |
524698644 |
|
Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
I |
SBIYX |
00000X000 |
|
Xxxx Xxxxx Global Currents International Small Cap Opportunity Fund |
I |
LCOIX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
I |
LMRNX |
00000X000 |
|
Xxxx Xxxxx Manager Select Series Large Cap Growth Fund |
I |
LSLIX |
524686102 |
|
Xxxx Xxxxx Manager Select Series Large Cap Value Fund |
I |
LGRIX |
524686201 |
|
Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
I |
LPTLX |
524701274 |
|
Xxxx Xxxxx Strategic Real Return Fund |
I |
LRRIX |
524686888 |
|
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 Global High Yield Bond Fund |
I |
SHYOX |
00000X000 |
|
Xxxx Xxxxx Western Asset Government 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 |
Xxxx Xxxxx Class I - Funds with annual compensation on assets 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 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 xx bps.
|
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 |
Page 9 of 14
Xxxx Xxxxx Class I - Fund with annual compensation on assets comprised of recordkeeping fees of xx bps.
|
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 XX Global Opportunities Bond Fund |
I |
GOBIX |
00000X000 |
|
Xxxx Xxxxx Capital Management American Leading Companies Trust |
I |
LGAMX |
00000X000 |
|
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 Capital Management Disciplined Equity Research Fund |
I |
LGMIX |
524686821 |
Page 10 of 14
Xxxx Xxxxx Class R - Funds with annual compensation on assets comprised of 12b-l (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 XX Diversified Large Cap Value Fund |
R |
TBD |
524686748 |
|
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 Mid Cap Growth Fund |
R |
TBD |
00000X000 |
|
Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
R |
LMPOX |
00000X000 |
|
@Xxxx Xxxxx Esemplia Emerging Markets Equity Fund |
R |
XXX |
XXX |
|
@Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
R |
XXX |
XXX |
|
@Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
R |
XXX |
XXX |
|
@Xxxx Xxxxx Strategic Real Return Fund |
R |
TBD |
524686862 |
|
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 |
524701811 |
|
Xxxx Xxxxx Target Retirement 2025 Fund |
R |
LMXRX |
524701746 |
|
Xxxx Xxxxx Target Retirement 2030 Fund |
R |
LMQRX |
524701670 |
|
Xxxx Xxxxx Target Retirement 2035 Fund |
R |
LMRRX |
524701613 |
|
Xxxx Xxxxx Target Retirement 2040 Fund |
R |
LMYRX |
524701548 |
|
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 |
524701340 |
|
^Xxxx Xxxxx Batterymarch Emerging Markets Trust |
R |
LBERX |
00000X000 |
|
^Xxxx Xxxxx Batterymarch International Equity Trust |
R |
LMIRX |
00000X000 |
|
Xxxx Xxxxx Capital Management Growth Trust |
R |
LMGRX |
00000X000 |
|
Xxxx Xxxxx Capital Management Opportunity Trust |
R |
LMORX |
00000X000 |
|
@Xxxx Xxxxx Capital Management Disciplined Equity Research Fund |
R |
TBD |
524686813 |
|
Xxxx Xxxxx Capital Management Special Investment Trust |
R |
LMARX |
524604406 |
|
Xxxx Xxxxx Capital Management Value Trust |
R |
LMVRX |
524659406 |
Page 11 of 14
Xxxx Xxxxx Class IS - No compensation may be paid. This is a no- 12b-l share class with no recordkeeping fees or revenue share.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
@X WA Emerging Markets Debt Portfolio |
IS |
LWIS X |
00000X000 |
|
X Xxxx Xxxxx XX Diversified Large Cap Value Fund |
IS |
LBISX |
524686730 |
|
X ^ Xxxx Xxxxx XX International Opportunities Bond Fund |
IS |
LMOTX |
524686508 |
|
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 Mid Cap Growth Fund |
IS |
XXX |
XXX |
|
X Xxxx Xxxxx ClearBridge Small Cap Growth Fund |
IS |
LMOIX |
00000X000 |
|
X Xxxx Xxxxx Global Currents International All Cap Opportunity Fund |
IS |
LSTIJX |
00000X000 |
|
@X Xxxx Xxxxx Global Currents International Small Cap Opportunity Fund |
IS |
XXX |
XXX |
|
X Xxxx Xxxxx Xxxxxx Tactical Allocation Fund |
IS |
LPTSX |
00000X000 |
|
@ X Xxxx Xxxxx Strategic Real Return Fund |
IS |
TBD |
524686870 |
|
X Xxxx Xxxxx Target Retirement 2015 Fund |
IS |
LMFSX |
524701852 |
|
X Xxxx Xxxxx Target Retirement 2020 Fund |
IS |
LMWSX |
524701787 |
|
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 |
524701589 |
|
X Xxxx Xxxxx Target Retirement 2040 Fund |
IS |
LMYSX |
524701522 |
|
X Xxxx Xxxxx Target Retirement 2045 Fund |
IS |
LMKSX |
524701456 |
|
X Xxxx Xxxxx Target Retirement 2050 Fund |
IS |
LMJSX |
524701381 |
|
X Xxxx Xxxxx Target Retirement Fund |
IS |
LMRSX |
524701324 |
|
X ^Xxxx Xxxxx Batterymarch Emerging Markets Trust |
IS |
LMGSX |
524650862 |
|
X ^Xxxx Xxxxx Batterymarch International Equity Trust |
IS |
LIESX |
524650854 |
|
X ^Xxxx Xxxxx XX Global Opportunities Bond Fund |
IS |
GOBSX |
00000X000 |
Xxxx Xxxxx Class P -Funds with annual compensation on assets comprised of 12b-1 per the then-current prospectus and recordkeeping fees of xx bps.
|
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.x bps.
|
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 |
Page 12 of 14
Western Asset Class FI - Funds with annual compensation on assets comprised of 12b-l (which is currently xx bps) and recordkeeping fees of x bps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
WA Absolute Return Portfolio |
FI |
WARIX |
957663693 |
|
WA Core Bond Portfolio |
FI |
WAPIX |
957663404 |
|
WA Core Plus Bond Portfolio |
FI |
WACIX |
957663602 |
|
@ WA Enhanced Equity Portfolio |
FI |
TBD |
957663784 |
|
@ WA Global Strategic Income Portfolio |
FI |
TBD |
957663727 |
|
@ WA High Yield Portfolio |
FI |
TBD |
957663834 |
|
@ WA Intermediate Bond Portfolio |
FI |
WAIFX |
957663800 |
|
@ WA Money Market Portfolio |
FI |
XXX |
000000000 |
|
@ XX Xxx - XX Opportunity Bond Portfolio |
FI |
TBD |
957663859 |
|
@ WA US Govt Money Market Portfolio |
FI |
TBD |
957663743 |
Western Asset Class I - Funds with annual compensation on assets comprised of recordkeeping fees of x bps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
WA Absolute Return Portfolio |
I |
WAARX |
957663719 |
|
WA Core Bond Portfolio |
I |
WATFX |
957663305 |
|
WA Core Plus Bond Portfolio |
I |
WACPX |
957663503 |
|
@ WA Enhanced Equity Portfolio |
I |
TBD |
957663792 |
|
@ WA Global Strategic Income Portfolio |
I |
TBD |
957663735 |
|
WA High Yield Portfolio |
I |
WAHYX |
957663842 |
|
WA Inflation Indexed Plus Bond Portfolio |
I |
WAIIX |
957663883 |
|
WA Intermediate Bond Portfolio |
I |
WATIX |
957663701 |
|
WA Limited Duration Bond Portfolio |
I |
WALDX |
957663107 |
|
@ WA Money Market Portfolio |
I |
TBD |
957663776 |
|
@ WA US Govt Money Market Portfolio |
I |
TBD |
957663750 |
|
WA Non - US Opportunity Bond Portfolio |
I |
WAFIX |
957663867 |
Page 13 of 14
Western Asset Class IS - No compensation mav be paid. This is a no-12b-l share class with no recordkeeping fees or revenue share.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
X WA Absolute Return Portfolio |
IS |
WAASX |
957663685 |
|
X WA Core Bond Portfolio |
IS |
WACSX |
957663677 |
|
X WA Core Plus Bond Portfolio |
IS |
WAPSX |
957663669 |
|
X WA High Yield Portfolio |
IS |
WAHSX |
957663636 |
|
X WA Inflation Indexed Plus Bond Portfolio |
IS |
WAFSX |
957663545 |
|
X WA Intermediate Bond Portfolio |
IS |
WABSX |
957663610 |
|
X WA Limited Duration Bond Portfolio |
IS |
WALSX |
957663586 |
|
@X WA Non-US Opportunity Bond Portfolio |
IS |
WAOSX |
957663560 |
|
^ Funds with redemption fees % Not exchangeable. Only existing investors can continue to invest + Only available to existing shareholders/closed to new investors 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 40l k, 457, 403b may not charge recordkeeping fees to be eligible and further 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 FI shares are available to investors under this Agreement, only Class FI 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. |
Page 14 of 14
