AMENDMENT NO. 5 TO THE INVESTMENT MANAGEMENT AGREEMENT
Exhibit (d)(1)(i)(A)(vi)
AMENDMENT NO. 5
TO THE
INVESTMENT MANAGEMENT AGREEMENT
AMENDMENT NO. 5 to the Investment Management Agreement (“Amendment No. 5”), effective as of September 1, 2012 between EQ Advisors Trust, a Delaware statutory trust (the “Trust”) and AXA Equitable Funds Management Group, LLC, a limited liability corporation organized in the State of Delaware (“AXA FMG” or “Manager”).
WHEREAS, AXA FMG and the Trust desire to modify the fees paid with respect to EQ/AllianceBernstein Small Cap Growth Portfolio; EQ/International ETF Portfolio and the Index Portfolios;
WHEREAS, AXA FMG and the Trust desire to reflect a name change for the EQ/Intermediate Government Bond Index Portfolio;
NOW THEREFORE, the Trust and AXA FMG agree to modify and amend the Investment Management Agreement, dated as of May 1, 2011, as amended (“Agreement”), as follows:
1. | Appendix A: Appendix A to the Agreement, which sets forth the Portfolios of the Trust for which AXA FMG is appointed investment manager is hereby replaced in its entirety by Appendix A attached hereto; and |
2. | Appendix B: Appendix B to the Agreement, which sets forth the fees payable to AXA FMG with respect to each Portfolio is hereby replaced in its entirety by Appendix B attached hereto. |
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 5 as of the date first above set forth.
EQ ADVISORS TRUST | AXA EQUITABLE FUNDS MANAGEMENT GROUP, LLC | |||||||
By: | /s/ Xxxxx Xxxxx |
By: | /s/ Xxxxxx X. Xxxxx | |||||
Xxxxx Xxxxx | Xxxxxx X. Xxxxx | |||||||
Chief Financial Officer and Treasurer | Chairman, Chief Executive Officer and President |
APPENDIX A
AMENDMENT NO. 5 TO
INVESTMENT MANAGEMENT AGREEMENT
Portfolios
ATM International Portfolio ATM Large Cap Portfolio ATM Mid Cap Portfolio ATM Small Cap Portfolio AXA Tactical Manager 2000 Portfolio AXA Tactical Manager 400 Portfolio AXA Tactical Manager 500 Portfolio AXA Tactical Manager International Portfolio EQ/AllianceBernstein Dynamic Wealth Strategies Portfolio EQ/AllianceBernstein Short-Term Bond Portfolio EQ/AllianceBernstein Short-Term Government Bond Portfolio EQ/AllianceBernstein Small Cap Growth Portfolio EQ/AXA Franklin Small Cap Value Core Portfolio EQ/BlackRock Basic Value Equity Portfolio EQ/Xxxxxxx Socially Responsible Portfolio EQ/Capital Guardian Research Portfolio EQ/Common Stock Index Portfolio EQ/Core Bond Index Portfolio EQ/Xxxxx New York Venture Portfolio EQ/Emerging Markets Equity PLUS Portfolio EQ/Equity 500 Index Portfolio EQ/Equity Growth PLUS Portfolio EQ/Franklin Core Balanced Portfolio EQ/Global Bond PLUS Portfolio EQ/Global Multi-Sector Equity Portfolio EQ/High Yield Bond Portfolio EQ/Intermediate Government Bond Portfolio |
EQ/International Core PLUS Portfolio EQ/International Equity Index Portfolio EQ/International ETF Portfolio EQ/International Small Cap PLUS Portfolio EQ/International Value PLUS Portfolio EQ/JPMorgan Value Opportunities Portfolio EQ/Large Cap Core PLUS Portfolio EQ/Large Cap Growth Index Portfolio EQ/Large Cap Growth PLUS Portfolio EQ/Large Cap Value Index Portfolio EQ/Large Cap Value PLUS Portfolio EQ/Lord Xxxxxx Large Cap Core Portfolio EQ/Mid Cap Index Portfolio EQ/Mid Cap Value PLUS Portfolio EQ/Money Market Portfolio EQ/Xxxxxx Xxxxxxx Mid Cap Growth Portfolio EQ/Mutual Large Cap Equity Portfolio EQ/Natural Resources PLUS Portfolio EQ/Xxxxxxxxxxx Global Portfolio EQ/PIMCO Real Return Portfolio EQ/Quality Bond PLUS Portfolio EQ/Real Estate PLUS Portfolio EQ/Small Company Index Portfolio EQ/Xxxxxxxxx Global Equity Portfolio EQ/Xxx Xxxxxx Xxxxxxxx Portfolio EQ/Xxxxx Fargo Omega Growth Portfolio |
APPENDIX B
AMENDMENT NO. 5 TO
INVESTMENT MANAGEMENT AGREEMENT
The Trust shall pay the Manager, at the end of each calendar month, compensation computed daily at an annual rate equal to the following:
(as a percentage of average daily net assets)
Index Portfolios |
First $4 Billion |
Next $4 Billion |
Thereafter | |||||||||
EQ/Xxxxxxx Socially Responsible |
0.500 | % | 0.490 | % | 0.480 | % | ||||||
EQ/Common Stock Index |
0.350 | % | 0.340 | % | 0.330 | % | ||||||
EQ/Core Bond Index |
0.350 | % | 0.340 | % | 0.330 | % | ||||||
EQ/Equity 500 Index |
0.250 | % | 0.240 | % | 0.230 | % | ||||||
EQ/Intermediate Government Bond |
0.350 | % | 0.340 | % | 0.330 | % | ||||||
EQ/International Equity Index |
0.400 | % | 0.390 | % | 0.380 | % | ||||||
EQ/Large Cap Growth Index |
0.350 | % | 0.340 | % | 0.330 | % | ||||||
EQ/Large Cap Value Index |
0.350 | % | 0.340 | % | 0.330 | % | ||||||
EQ/Mid Cap Index |
0.350 | % | 0.340 | % | 0.330 | % | ||||||
EQ/Small Company Index |
0.250 | % | 0.240 | % | 0.230 | % |
(as a percentage of average daily net assets)
ETF Portfolio |
First $4 Billion |
Next $4 Billion |
Thereafter | |||||||||
EQ/International ETF |
0.400 | % | 0.390 | % | 0.380 | % |
(as a percentage of average daily net assets)
Money Market Portfolio |
First $750 Million |
Next $750 Million |
Next $1 Billion |
Next $2.5 Billion |
Thereafter | |||||||||||||||
EQ/Money Market |
0.350 | % | 0.325 | % | 0.280 | % | 0.270 | % | 0.250 | % |
(as a percentage of average daily net assets)
Equity Portfolios |
First $1 Billion |
Next $1 Billion |
Next $3 Billion |
Next $5 Billion |
Thereafter | |||||||||||||||
EQ/AllianceBernstein Dynamic Wealth Strategies |
0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | ||||||||||
EQ/AXA Franklin Small Cap Value Core |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % |
(as a percentage of average daily net assets)
Equity Portfolios |
First $1 Billion |
Next $1 Billion |
Next $3 Billion |
Next $5 Billion |
Thereafter | |||||||||||||||
EQ/BlackRock Basic Value Equity |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
EQ/Capital Guardian Research |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
EQ/Xxxxx New York Venture |
0.850 | % | 0.800 | % | 0.775 | % | 0.750 | % | 0.725 | % | ||||||||||
EQ/Franklin Core Balanced |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
EQ/Global Multi-Sector Equity |
0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | ||||||||||
EQ/JPMorgan Value Opportunities |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
EQ/Lord Xxxxxx Large Cap Core |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
EQ/Mutual Large Cap Equity |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
EQ/Xxxxxx Xxxxxxx Mid Cap Growth |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
EQ/Xxxxxxxxxxx Global |
0.950 | % | 0.900 | % | 0.875 | % | 0.850 | % | 0.825 | % | ||||||||||
EQEQ/Xxxxxxxxx Global Equity |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
EQ/Xxx Xxxxxx Xxxxxxxx |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
EQ/Xxxxx Fargo Omega Growth |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % |
(as a percentage of average daily net assets)
Equity Portfolios |
First $2 Billion |
Next $1 Billion |
Next $3 Billion |
Next $5 Billion |
Thereafter | |||||||||||||||
EQ/AllianceBernstein Small Cap Growth |
0.550 | % | 0.500 | % | 0.475 | % | 0.450 | % | 0.425 | % |
(as a percentage of average daily net assets)
PLUS Portfolios |
First $2 Billion |
Next $1 Billion |
Next $3 Billion |
Next $5 Billion |
Thereafter | |||||||||||||||
EQ/Emerging Markets Equity PLUS |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
EQ/Equity Growth PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
EQ/International Core PLUS |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
EQ/International Small Cap PLUS |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
EQ/International Value PLUS |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
EQ/Mid Cap Value PLUS |
0.550 | % | 0.500 | % | 0.475 | % | 0.450 | % | 0.425 | % | ||||||||||
EQ/Large Cap Growth PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
EQ/Large Cap Core PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
EQ/Large Cap Value PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
EQ/Natural Resources PLUS |
0.550 | % | 0.500 | % | 0.475 | % | 0.450 | % | 0.425 | % | ||||||||||
EQ/Real Estate PLUS |
0.550 | % | 0.500 | % | 0.475 | % | 0.450 | % | 0.425 | % |
(as a percentage of average daily net assets)
PLUS Portfolios |
First $4 Billion |
Next $4 Billion |
Thereafter | |||||||||
EQ/Global Bond PLUS |
0.550 | % | 0.530 | % | 0.510 | % | ||||||
EQ/Quality Bond PLUS |
0.400 | % | 0.380 | % | 0.360 | % |
(as a percentage of average daily net assets)
Fixed Income Portfolios |
First $2 Billion |
Next $2 Billion |
Thereafter | |||||||||
EQ/AllianceBernstein Short-Term Bond |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
EQ/AllianceBernstein Short-Term Government Bond |
0.450 | % | 0.430 | % | 0.410 | % |
(as a percentage of average daily net assets)
Fixed Income Portfolios |
First $4 Billion |
Next $4 Billion |
Thereafter | |||||||||
EQ/High Yield Bond |
0.600 | % | 0.580 | % | 0.560 | % |
(as a percentage of average daily net assets)
Fixed Income Portfolio |
First $750 Million |
Next $750 Million |
Next $1 Billion |
Next $2.5 Billion |
Thereafter | |||||||||||||||
EQ/PIMCO Real Return |
0.600 | % | 0.575 | % | 0.550 | % | 0.530 | % | 0.520 | % |
(as a percentage of average daily net assets)
First $3 Billion |
Next $4 Billion |
Thereafter | ||||||||||
Tactical Portfolios |
||||||||||||
ATM International Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
ATM Large Cap Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
ATM Mid Cap Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
ATM Small Cap Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
AXA Tactical Manager 2000 Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
AXA Tactical Manager 400 Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
AXA Tactical Manager 500 Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
AXA Tactical Manager International Portfolio |
0.450 | % | 0.430 | % | 0.410 | % |