AMENDMENT #6 TO THE FUND PARTICIPATION AGREEMENT
This Amendment, dated as of May 9, 2016, between Hartford Life Insurance Company, located at 000 Xxxxxxxxx Xxxxxx, Xxxxxxxx, XX 00000 (the “Company”), acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”), and Xxxxxxxxx Xxxxxx Management LLC, located at 000 Xxxxx Xxxxxx, Xxx Xxxx, XX 00000-0000 (“NBM”), is made lo the Fund Participation Agreement, dated as of September 9, 1998, as amended, between the Company and NBM (the “Agreement”). Terms defined in the Agreement are used herein as therein defined.
WHEREAS, the Company and NBM are parties to the Agreement pursuant to which shares of the Funds arc made available to Plans and the Company provides services to the Funds on behalf of NBM with respect to Plans and Participants.
WHEREAS, certain of the Company’s clients are eligible to purchase Class R6 shares of the Funds;
NOW, THEREFORE, in consideration of the premises and mutual covenants contained herein, the Parties hereby amend the Agreement as follows:
1. The information for the Company in Section 9.1 is hereby deleted and replaced with the following:
Hartford Life Insurance Company
c/o Massachusetts Mutual Life insurance Company
0000 Xxxxx Xxxxxx, XXX X000-XXXXX
Xxxxxxxxxxx, XX 00000
Attention: RS Fund Operations
Telephone: (000) 000-0000
Facsimile: (000) 000-0000
cc: Law Department
Attention: [Redacted]
Telephone: [Redacted]
Facsimile: [Redacted]
2. Appendix A and Appendix C of the Agreement are each hereby deleted in their entirety and replaced with new Appendix A and Appendix C, dated as of March 30, 2016, attached hereto.
3. All other provisions of the Agreement shall otherwise remain in full force and effect.
4. This Amendment may be executed in two or more counterparts, each of which shall be deemed to be an original, but all of which together shall constitute one and the same Amendment.
|
HARTFORD LIFE |
XXXXXXXXX XXXXXX |
|
INSURANCE COMPANY, |
MANAGEMENT LLC |
|
By Massachusetts Mutual Life Insurance |
|
|
Company, Its Administrator |
|
|
By: |
[Redacted] |
|
By: |
[Redacted] | ||
|
Name: |
[Redacted] |
Name: |
[Redacted] | |||
|
Title: |
Senior Vice President |
Title: |
President and CEO | |||
APPENDIX A
As of March 30, 2016
|
Fund Name |
|
Class |
|
Symbol |
|
CUSIP |
|
|
Xxxxxxxxx Xxxxxx Absolute Return Multi-Manager Fund |
|
Institutional |
|
NABIX |
|
64l28R855 |
|
|
Xxxxxxxxx Xxxxxx Absolute Return Multi-Manager Fund |
|
A |
|
NABAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Absolute Return Multi-Manager Fund |
|
R6 |
|
NRABX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx All Cap Core Fund |
|
Institutional |
|
NBEIX |
|
641224548 |
|
|
Xxxxxxxxx Xxxxxx All Cap Core Fund |
|
A |
|
NBEAX |
|
641224563 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Core Bond Fund |
|
Institutional |
|
NCRLX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Core Bond Fund |
|
A |
|
NCRAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Dividend Growth Fund |
|
Institutional |
|
NDGIX |
|
|
|
|
Xxxxxxxxx Xxxxxx Dividend Growth Fund |
|
A |
|
NDGAX |
|
|
|
|
Xxxxxxxxx Xxxxxx Dividend Growth Fund |
|
R6 |
|
NRDGX |
|
|
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Emerging Markets Debt Fund |
|
Institutional |
|
NERIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Emerging Markets Debt Fund |
|
A |
|
NERAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund |
|
Institutional |
|
NEMIX |
|
641224415 |
|
|
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund |
|
A |
|
NEMAX |
|
641224431 |
|
|
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund |
|
R3 |
|
NEMRX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Equity Income Fund |
|
Institutional |
|
NBITIX |
|
641224498 |
|
|
Xxxxxxxxx Xxxxxx Equity Income Fund |
|
A |
|
NBHAX |
|
641224522 |
|
|
Xxxxxxxxx Xxxxxx Equity Income Fund |
|
R3 |
|
NBHRX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Flexible Select Fund |
|
Institutional |
|
NFLIX |
|
64l28R780 |
|
|
Xxxxxxxxx Xxxxxx Flexible Select Fund |
|
A |
|
NFLAX |
|
64128R8l4 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Floating Rate Income Fund |
|
Institutional |
|
NFIIX |
|
64l28K694 |
|
|
Xxxxxxxxx Xxxxxx Floating Rate Income Fund |
|
A |
|
NFIAX |
|
00000X000 |
|
|
Fund Name |
|
Class |
|
Symbol |
|
CUSIP |
|
|
Xxxxxxxxx Xxxxxx Focus Fund |
|
Advisor |
|
NBFAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Focus Fund |
|
Class A |
|
NFAAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Focus Fund |
|
Institutional |
|
NFALX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Genesis Fund |
|
Trust |
|
NBGEX |
|
640917100 |
|
|
Xxxxxxxxx Xxxxxx Genesis Fund |
|
Advisor |
|
NBGAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Genesis Fund |
|
Institutional |
|
NBGIX |
|
641233200 |
|
|
Xxxxxxxxx Xxxxxx Genesis Fund |
|
R6 |
|
NRGSX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Global Allocation Fund |
|
Institutional |
|
NGLIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Global Allocation Fund |
|
A |
|
NBLAX |
|
64l22R814 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Global Equity Fund |
|
Institutional |
|
NGQIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Global Equity Fund |
|
A |
|
NGQAX |
|
64l22Q663 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Global Long Short Fund |
|
Institutional |
|
NGBIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Global Long Short Fund |
|
A |
|
NGBAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Global Real Estate Fund |
|
Institutional |
|
NGRIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Global Real Estate Fund |
|
A |
|
NGRAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Greater China Equity Fund |
|
Institutional |
|
NCEIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Greater China Equity Fund |
|
A |
|
NCEAX |
|
64122Q48I |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Guardian Fund |
|
Trust |
|
NBGTX |
|
640917209 |
|
|
Xxxxxxxxx Xxxxxx Guardian Fund |
|
Advisor |
|
NBGUX |
|
64l22M308 |
|
|
Xxxxxxxxx Xxxxxx Guardian Fund |
|
Institutional |
|
NGDLX |
|
641224290 |
|
|
Xxxxxxxxx Xxxxxx Guardian Fund |
|
A |
|
NGDAX |
|
641224340 |
|
|
Xxxxxxxxx Xxxxxx Guardian Fund |
|
R3 |
|
NGDRX |
|
641224316 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx High Income Bond Fund |
|
Institutional |
|
NHILX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx High Income Bond Fund |
|
A |
|
NHIAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx High Income Bond fund |
|
R3 |
|
NHIRX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx High Income Bond Fund |
|
R6 |
|
NRHIX |
|
00000X000 |
|
|
Fund Name |
|
Class |
|
Symbol |
|
CUSIP |
|
|
Xxxxxxxxx Xxxxxx Inflation Managed Fund |
|
Institutional |
|
NDRIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Inflation Managed Fund |
|
A |
|
NDRAX |
|
64122R848 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx International Equity Fund |
|
Institutional |
|
NBIIX |
|
641224811 |
|
|
Xxxxxxxxx Xxxxxx International Equity Fund |
|
A |
|
NIQAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx International Equity Fund |
|
R6 |
|
NRIQX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx International Select fond |
|
Trust |
|
NILTX |
|
641224753 |
|
|
Xxxxxxxxx Xxxxxx International Select Fund |
|
Institutional |
|
NILIX |
|
641224761 |
|
|
Xxxxxxxxx Xxxxxx International Select Fund |
|
A |
|
NBNAX |
|
641224621 |
|
|
Xxxxxxxxx Xxxxxx International Select Fund |
|
R3 |
|
NBNRX |
|
641224274 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Intrinsic Value Fund |
|
Institutional |
|
NINLX |
|
641224779 |
|
|
Xxxxxxxxx Xxxxxx Intrinsic Value Fund |
|
A |
|
NINAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Large Cap Disciplined Growth |
|
Institutional |
|
NLDLX |
|
641224373 |
|
|
Xxxxxxxxx Xxxxxx Large Cap Disciplined Growth |
|
A |
|
NLDAX |
|
641224399 |
|
|
Xxxxxxxxx Xxxxxx Large Cap Disciplined Growth |
|
R3 |
|
NLDRX |
|
641224357 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
Trust |
|
NBPTX |
|
640917407 |
|
|
Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
Advisor |
|
NBPBX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
Institutional |
|
NBPIX |
|
641224787 |
|
|
Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
A |
|
NPNAX |
|
64l22Q796 |
|
|
Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
R3 |
|
NPNRX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Long Short Credit Fund |
|
Institutional |
|
NLNIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Long Short Credit Fund |
|
A |
|
NLNAX |
|
64l28R673 |
|
|
Xxxxxxxxx Xxxxxx Long Short Credit Fund |
|
R6 |
|
NRLNX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Long Short Multi-Manager Fund |
|
Institutional |
|
NIMIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Long Short Multi-Manager Fund |
|
A |
|
NLMAX |
|
00000X000 |
|
|
Fund Name |
|
Class |
|
Symbol |
|
CUSIP |
|
|
Xxxxxxxxx Xxxxxx Xxx Xxx Xxxxxx Xxx0x |
|
Trust |
|
NBMTX |
|
640917308 |
|
|
Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
Advisor |
|
NBMBX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
Institutional |
|
NBMLX |
|
641224662 |
|
|
Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
A |
|
NMGAX |
|
641224266 |
|
|
Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
R3 |
|
NMGRX |
|
641224233 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
Trust |
|
NBREX |
|
640917886 |
|
|
Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
Institutional |
|
NBRTX |
|
641224779 |
|
|
Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
A |
|
NBRAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
R3 |
|
NBRRX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Multi-Asset Income Fund |
|
Institutional |
|
NANIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Multi-Asset Income Fund |
|
A |
|
NANAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Multi-Asset Income Fund |
|
R6 |
|
NRANX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Multi-Cap Opportunities Fund |
|
A |
|
NMUAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Multi-Cap Opportunities Fund |
|
Institutional |
|
NMULX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Municipal High Income Fund |
|
Institutional |
|
NMHLX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Municipal High Income Fund |
|
A |
|
NMHAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx New York Municipal Intermediate Bond Fund |
|
Institutional |
|
NMNLX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx New York Municipal Intermediate Bond Fund |
|
A |
|
NMNAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx New York Municipal Income Fund |
|
Institutional |
|
NMIIX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
Trust |
|
NBRFX |
|
641224845 |
|
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
Institutional |
|
NBRIX |
|
641224795 |
|
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
A |
|
NREAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
R3 |
|
NRERX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Xxxx Xxxxxx Xxxx |
|
X0 |
|
XXXXX |
|
00000X000 |
|
|
Fund Name |
|
Class |
|
Symbol |
|
CU SIP |
|
|
Xxxxxxxxx Xxxxxx Risk-Balanced Commodity Strategy Fund |
|
Institutional |
|
NRBIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Risk-Balanced Commodity Strategy Fund |
|
A |
|
NRBAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Short Duration Bond Fund |
|
Trust |
|
NBLTX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Short Duration Bond Fund |
|
Institutional |
|
NSHLX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Short Duration Bond Fund |
|
A |
|
NSHAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
Trust |
|
NBMOX |
|
640917803 |
|
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
Advisor |
|
NBMVX |
|
641224829 |
|
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
Institutional |
|
NBSMX |
|
641224530 |
|
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
A |
|
NSNAX |
|
641224225 |
|
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
R3 |
|
NSNRX |
|
641224183 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Socially Responsive Fund |
|
Trust |
|
NBSTX |
|
640917860 |
|
|
Xxxxxxxxx Xxxxxx Socially Responsive Fund |
|
Investor |
|
NBSRX |
|
641224605 |
|
|
Xxxxxxxxx Xxxxxx Socially Responsive Fund |
|
Institutional |
|
NBSLX |
|
641224654 |
|
|
Xxxxxxxxx Xxxxxx Socially Responsive Fund |
|
A |
|
NRAAX |
|
641224175 |
|
|
Xxxxxxxxx Xxxxxx Socially Responsive Fund |
|
R3 |
|
NRARX |
|
641224142 |
|
|
Xxxxxxxxx Xxxxxx Socially Responsive Fund |
|
R6 |
|
NRSRX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Strategic Income Fund |
|
Trust |
|
NSTTX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Strategic Income Fund |
|
Institutional |
|
NSTLX |
|
64128K75l |
|
|
Xxxxxxxxx Xxxxxx Strategic Income Fund |
|
A |
|
NSTAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Unconstrained Bond Fund |
|
Institutional |
|
NUBAX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx Unconstrained Bond Fund |
|
A |
|
NUBAX |
|
64l28K520 |
|
|
Xxxxxxxxx Xxxxxx Unconstrained Bond Fund |
|
R6 |
|
NRUBX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Value Fund |
|
Institutional |
|
NLRLX |
|
641224118 |
|
|
Xxxxxxxxx Xxxxxx Value Fund |
|
A |
|
NVAAX |
|
641224134 |
|
|
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx World Equity Fund |
|
Institutional |
|
NWTIX |
|
00000X000 |
|
|
Xxxxxxxxx Xxxxxx World Equity Fund |
|
A |
|
NXTAX |
|
00000X000 |
|
APPENDIX C
FUNDS AND FEES
|
Fund Name(1) |
|
Share Class |
|
Total |
|
Sales Load |
|
Recordkeeping |
|
Distribution- |
|
|
All Open-ended Mutual Funds administered by NBIA |
|
Investor |
|
10bps(1) |
|
None |
|
10bps(1) |
|
0 bps |
|
|
All Open-ended Mutual Funds administered by NBIA |
|
Trust |
|
35 bps(2) |
|
None |
|
25bps |
|
10 bps(3) |
|
|
All Open-ended Mutual Funds administered by NBIA |
|
Advisor |
|
50 bps |
|
None |
|
25bps |
|
25 bps |
|
|
All Open-ended Mutual Funds administered by NBIA |
|
Institutional* |
|
10 bps |
|
None |
|
10 bps |
|
0 bps |
|
|
All Open-ended Mutual Funds administered by NBIA |
|
A |
|
50 bps |
|
Waived |
|
25bps |
|
25bps |
|
|
All Open-ended Mutual Funds administered by NBIA |
|
R3* |
|
75 bps |
|
None |
|
25bps |
|
50bps |
|
|
All Open-ended Mutual Funds administered by NBIA |
|
R6* |
|
0 bps |
|
None |
|
0 bps |
|
0 bps |
|
To the extent that a Fund has approved a plan pursuant to Rule 12b-l under the Investment Company Act of 1940, as amended, all or part of the fee with respect to that Fund may be payable from the proceeds of that plan. The parties agree that all payments for services made under the Agreement shall be in accordance with a statement provided by NBM to the Company that shall be based on each Fund’s records with its transfer agent.
(1) Fees are for shares of Xxxxxxxxx Xxxxxx Equity Funds only.
(2) Except for Trust Class shares of Xxxxxxxxx Xxxxxx Genesis Fund, Xxxxxxxxx Xxxxxx International Fund and Xxxxxxxxx Xxxxxx Mid Cap Growth Fund, which have no 12- 1 fees and for which Total Compensation is 25 bps.
(3) Except for Trust Class shares of Xxxxxxxxx Xxxxxx Genesis Fund, Xxxxxxxxx Xxxxxx International Fund and Xxxxxxxxx Xxxxxx Mid Cap Growth Fund, which have no 12-1 fees.
* Only omnibus or, in the case of retirement-related investments, omnibus by plan, accounts are permitted in Institutional Class, Class R3, and Class R6.
This Amendment dated as of August 30, 2018 between Xxxxxxx Resolution Life Insurance Company (formerly named Hartford Life Insurance Company) (the “Company”) acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”), and Xxxxxxxxx Xxxxxx XX LLC (“NBBD”) (as successor distributor of the Funds), is made to the Fund Participation Agreement dated September 9, 1998, as amended, by and between the Company and Xxxxxxxxx Xxxxxx Management Inc., subsequently known as Xxxxxxxxx Xxxxxx Management LLC (“NBM”) (the “Agreement”). Terms defined in the Agreement are used herein as therein defined.
WHEREAS, in connection with an internal reorganization, effective July 1, 2016, NBM was reorganized with and into Xxxxxxxxx Xxxxxx LLC (“NB LLC”), a registered broker-dealer and distributor of the Funds, which changed its name to NBBD effective January 1, 2017; and
WHEREAS, pursuant to a sale of the Company to a group of investors, effective May 31, 2018, the Company changed its name to Xxxxxxx Resolution Life Insurance Company.
NOW, THEREFORE, in consideration of the promises and mutual covenants hereinafter contained, the parties agree as follows.
l. NBM’s rights and obligations under the Agreement were transferred to NBBD.
2. All references to Hartford Life Insurance Company shall be replaced with Xxxxxxx Resolution Life Insurance Company.
3. Except as modified hereby, all other terms and conditions of the Agreement shall remain in full force and effect.
4. This amendment may be executed in two or more counterparts, each of which shall be deemed to be an original, but all of which together shall constitute one and the same amendment.
|
XXXXXXX RESOLUTION LIFE INSURANCE |
|
XXXXXXXXX XXXXXX XX LLC | ||
|
COMPANY |
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By Massachusetts Mutual Life Insurance Company, |
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Its Administrator |
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By: |
[Redacted] |
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By: |
[Redacted] |
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Name: |
[Redacted] |
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Name: |
[Redacted] |
|
Title: |
Senior Vice President |
|
Title: |
Managing Director |
This Amendment, dated as of January 10, 2019 between Xxxxxxx Resolution Life Insurance Company (the “Company”), acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”), and Xxxxxxxxx Xxxxxx XX LLC (“ NBBD”) (as successor distributor of the Funds), is made to the Fund Participation Agreement dated September 9, 1998, as amended, by and between the Company and NBBD (the “Agreement”). Terms defined in the Agreement are used herein as therein defined.
WHEREAS, the Company and NBBD are parties to the Agreement pursuant to which shares of the Funds are made available to Plans and the Company provides services to the Funds on behalf of NBBD with respect to Plans and Participants; and
WHEREAS, certain of the Company’s clients are eligible to purchase Class R6 shares of the Funds;
NOW, THEREFORE, in consideration of the promises and mutual covenants contained herein, the Parties hereby amend the Agreement as follows:
1. Appendix A of the Agreement is hereby deleted in its entirety and replaced with new Appendix A, attached hereto.
2. All other provisions of the Agreement shall otherwise remain in full force and effect.
3. This Amendment may be executed in two or more counterparts, each of which shall be deemed to be an original, but all of which together shall constitute one and the same Amendment.
|
XXXXXXX RESOLUTION |
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XXXXXXXXX XXXXXX XX LLC | ||
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LIFE INSURANCE COMPANY, |
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By Massachusetts Mutual Life Insurance |
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Company, Its Administrator |
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By: |
[Redacted] |
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By: |
[Redacted] |
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Name: |
[Redacted] |
|
Name: |
[Redacted] |
|
Title: |
Senior Vice President |
|
Title: |
Managing Director |
APPENDIX A
|
Fund Name |
|
Class |
|
Symbol |
|
CUSIP |
|
Xxxxxxxxx Xxxxxx Absolute Return Multi-Manager Fund |
|
Institutional |
|
NABIX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Absolute Return Multi-Manager Fund |
|
A |
|
NABAX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Absolute Return Multi-Manager Fund |
|
R6 |
|
NRABX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx German Core Bond Fund |
|
Institutional |
|
NCRLX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Co re Bond Fund |
|
A |
|
NCRAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Dividend Growth Fund |
|
Institutional |
|
NDGIX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Dividend Growth Fund |
|
A |
|
NDGAX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Dividend Growth Fund |
|
R6 |
|
NRDGX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Emerging Markets Debt Fund |
|
Institutional |
|
NERIX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Emerging Markets Debt Fund |
|
A |
|
NERAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund |
|
Institutional |
|
NEMIX |
|
641224415 |
|
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund |
|
A |
|
NEMAX |
|
641224431 |
|
Xxxxxxxxx Xxxxxx Emerging Markets Equity f-und |
|
R3 |
|
NEMRX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund |
|
R6 |
|
NREMX |
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00000X000 |
|
|
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|
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Xxxxxxxxx Xxxxxx Equity Income Fund |
|
Institutional |
|
NBHIX |
|
641224498 |
|
Xxxxxxxxx Xxxxxx Equity Income Fund |
|
A |
|
NBHAX |
|
641224522 |
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Xxxxxxxxx Xxxxxx Equity Income Fund |
|
R3 |
|
NBHRX |
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00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Floating Rate Income Fund |
|
Institutional |
|
NFIIX |
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00000X000 |
|
Xxxxxxxxx Xxxxxx Floating Rate Income Fund |
|
A |
|
NFIAX |
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00000X000 |
|
|
|
|
|
|
|
|
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Xxxxxxxxx Xxxxxx Focus Fund |
|
Advisor |
|
NBFAX |
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00000X000 |
|
Xxxxxxxxx Xxxxxx focus Fund |
|
Class A |
|
NFAAX |
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64122 Q879 |
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Xxxxxxxxx Xxxxxx Focus Fund |
|
Institutional |
|
NFALX |
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00000X000 |
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Fund Name |
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Class |
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Symbol |
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CUSIP |
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Xxxxxxxxx Xxxxxx Genesis Fund |
|
Trust |
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NBGEX |
|
640917100 |
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Xxxxxxxxx Xxxxxx Genesis Fund |
|
Advisor |
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NBGAX |
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00000X000 |
|
Xxxxxxxxx Xxxxxx Genesis fund |
|
Institutional |
|
NBGIX |
|
641233200 |
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Xxxxxxxxx Xxxxxx Genesis Fund |
|
R6 |
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NRGSX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Global Allocation Fund |
|
Institutional |
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NGLIX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Global Allocation Fund |
|
A |
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NBLAX |
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64122R814 |
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|
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Xxxxxxxxx Xxxxxx Global Equity Fund |
|
Institutional |
|
NGQIX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Global Equity Fund |
|
A |
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NGQAX |
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00000X000 |
|
|
|
|
|
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Xxxxxxxxx Xxxxxx Global Real Estate Fund |
|
Institutional |
|
NGRIX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Global Real Estate Fund |
|
A |
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NGRAX |
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00000X000 |
|
|
|
|
|
|
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Xxxxxxxxx Xxxxxx Greater China Equity Fund |
|
Institutional |
|
NCEIX |
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00000X000 |
|
Xxxxxxxxx Xxxxxx Greater China Equity Fund |
|
A |
|
NCEAX |
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00000X000 |
|
|
|
|
|
|
|
|
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Xxxxxxxxx Xxxxxx Guardian Fund |
|
Trust |
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NBGTX |
|
640917209 |
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Xxxxxxxxx Xxxxxx Guardian Fund |
|
Advisor |
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NBGUX |
|
00000X000 |
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Xxxxxxxxx Xxxxxx Guardian Fund |
|
Institutional |
|
NGDLX |
|
641224290 |
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Xxxxxxxxx Xxxxxx Guardian Fund |
|
A |
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NGDAX |
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641224340 |
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Xxxxxxxxx Xxxxxx Guardian Fund |
|
R3 |
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NGDRX |
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641224316 |
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Xxxxxxxxx Xxxxxx High Income Bond Fund |
|
Institutional |
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NHILX |
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00000X000 |
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Xxxxxxxxx Xxxxxx High Income Bond Fund |
|
A |
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NHIAX |
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00000X000 |
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Xxxxxxxxx Xxxxxx High Income Bond Fund |
|
R3 |
|
NHIRX |
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00000X000 |
|
Xxxxxxxxx Xxxxxx High Income Bond fund |
|
R6 |
|
NRHIX |
|
00000X000 |
|
Fund Name |
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Class |
|
Symbol |
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CUSIP |
|
Xxxxxxxxx Xxxxxx International Equity Fund |
|
Institutional |
|
NBIIX |
|
641224811 |
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Xxxxxxxxx Xxxxxx International Equity Fund |
|
A |
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NIQAX |
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00000X000 |
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Xxxxxxxxx Xxxxxx International Equity Fund |
|
R6 |
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NRIQX |
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64l22Q457 |
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Xxxxxxxxx Xxxxxx International Select Fund |
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Trust |
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NILTX |
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641224753 |
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Xxxxxxxxx Xxxxxx International Select Fund |
|
Institutional |
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NILIX |
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641224761 |
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Xxxxxxxxx Xxxxxx International Select fond |
|
A |
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NBNAX |
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641224621 |
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Xxxxxxxxx Xxxxxx International Select Fund |
|
R3 |
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NBNRX |
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641224274 |
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|
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Xxxxxxxxx Xxxxxx Intrinsic Value Fund |
|
Institutional |
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NINLX |
|
641224779 |
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Xxxxxxxxx Xxxxxx Intrinsic Value Fund |
|
A |
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NINAX |
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64l22Q739 |
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|
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Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
Trust |
|
NBPTX |
|
640917407 |
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Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
Advisor |
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NBPBX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
Institutional |
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NBPIX |
|
641224787 |
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Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
A |
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NPNAX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Large Cap Value Fund |
|
R3 |
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NPNRX |
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00000X000 |
|
|
|
|
|
|
|
|
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Xxxxxxxxx Xxxxxx Long Short Credit Fund |
|
Institutional |
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NLNIX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Long Short Credit Fund |
|
A |
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NLNAX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Long Short Credit Fund |
|
R6 |
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NRLNX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
Trust |
|
NBMTX |
|
640917308 |
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Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
Advisor |
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NBMBX |
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00000X000 |
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Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
Institutional |
|
NBMLX |
|
641224662 |
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Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
A |
|
NMGAX |
|
641224266 |
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Xxxxxxxxx Xxxxxx Mid Cap Growth Fund |
|
R3 |
|
NMGRX |
|
641224233 |
|
Xxxxxxxxx Xxxxxx Xxx Xxx Xxxxxx Xxxx |
|
X0 |
|
XXXXX |
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00000X000 |
|
Fund Name |
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Class |
|
Symbol |
|
CUSIP |
|
Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
Trust |
|
NBREX |
|
640917886 |
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Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
Institutional |
|
NRRTX |
|
641224779 |
|
Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
A |
|
NBRAX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Mid Cap Intrinsic Value Fund |
|
R3 |
|
NBRRX |
|
00000X000 |
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|
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|
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|
|
Xxxxxxxxx Xxxxxx Multi-Asset Income Fund |
|
Institutional |
|
NANIX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Multi-Asset Income Fund |
|
A |
|
NANAX |
|
00000X000 |
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Xxxxxxxxx Xxxxxx Multi-Asset Income Fund |
|
R6 |
|
NRANX |
|
00000X000 |
|
|
|
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|
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Xxxxxxxxx Xxxxxx Multi-Cap Opportunities Fund |
|
A |
|
NMUAX |
|
64l22Q101 |
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Xxxxxxxxx Xxxxxx Multi-Cap Opportunities Fund |
|
Institutional |
|
NMULX |
|
00000X000 |
|
|
|
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|
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|
|
Xxxxxxxxx Xxxxxx Municipal High Income Fund |
|
Institutional |
|
NMHIX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Municipal High Income Fund |
|
A |
|
NMHAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Municipal Impact Fund |
|
Institution al |
|
NMIIX |
|
64I28K587 |
|
|
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|
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|
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|
|
Xxxxxxxxx Xxxxxx Municipal Intermediate Bond Fund |
|
Institutional |
|
NMNLX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Municipal Intermediate Bond Fund |
|
A |
|
NMNAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
Trust |
|
NBRFX |
|
641224845 |
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
Institutional |
|
NBRIX |
|
641224795 |
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
A |
|
NREAX |
|
64l22Q762 |
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
R3 |
|
NRERX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Real Estate Fund |
|
R6 |
|
NRREX |
|
64 122Q515 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Commodity Strategy Fund |
|
Institutional |
|
NRBIX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Commodity Strategy Fund |
|
A |
|
NRBAX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Short Duration Bond Fund |
|
Institutional |
|
NSHLX |
|
64l28K637 |
|
Xxxxxxxxx Bem1an Short Duration Bond Fund |
|
A |
|
NSHAX |
|
00000X000 |
|
Fund Name |
|
Class |
|
Symbol |
|
CUSIP |
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
Trust |
|
NBMOX |
|
640917803 |
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
Advisor |
|
NBMVX |
|
641224829 |
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
Institutional |
|
NBSMX |
|
641224530 |
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
A |
|
NSNAX |
|
641224225 |
|
Xxxxxxxxx Xxxxxx Small Cap Growth Fund |
|
R3 |
|
NSNRX |
|
641224183 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Sustainable Equity Fund |
|
Trust |
|
NBSTX |
|
640917860 |
|
Xxxxxxxxx Xxxxxx Sustainable Equity Fund |
|
Institutional |
|
NBSLX |
|
641224654 |
|
Xxxxxxxxx Xxxxxx Sustainable Equity Fund |
|
A |
|
NRAAX |
|
64122417 5 |
|
Xxxxxxxxx Xxxxxx Sustainable Equity Fund |
|
R3 |
|
NRARX |
|
641224142 |
|
Xxxxxxxxx Xxxxxx Xxxxxxxxxxx Xxxxxx Xxxx |
|
X0 |
|
XXXXX |
|
00x00X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Strategic Income Fund |
|
Trust |
|
NSTTX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Strategic Income Fund |
|
Institutional |
|
NSTLX |
|
64128K75I |
|
Xxxxxxxxx Xxxxxx Strategic Income Fund |
|
A |
|
NSTAX |
|
64128 K777 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Unconstrained Bond Fund |
|
Institutional |
|
NUBAX |
|
64128 K496 |
|
Xxxxxxxxx Xxxxxx Unconstrained Bond Fund |
|
A |
|
NUBAX |
|
00000X000 |
|
Xxxxxxxxx Xxxxxx Unconstrained Bond Fund |
|
R6 |
|
NRUBX |
|
00000X000 |
|
|
|
|
|
|
|
|
|
Xxxxxxxxx Xxxxxx Value Fund |
|
Institutional |
|
NLRLX |
|
641224118 |
|
Xxxxxxxxx Xxxxxx Value Fund |
|
A |
|
NVAAX |
|
641224134 |
This Amendment, dated as of October 22, 2019 between Xxxxxxx Resolution Life Insurance Company (the “Company”), acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”), and Xxxxxxxxx Xxxxxx XX LLC (“NBBD”) (as successor distributor of the Funds), is made to the Fund Participation Agreement dated September 9, 1998, as amended, by and between the Company and NBBD (the “Agreement”). Terms defined in the Agreement are used herein as therein defined.
WHEREAS, the Company and NBBD are parties to the Agreement pursuant to which shares of the Funds are made available to Plans and the Company provides services to the Funds on behalf of NBBD with respect to Plans and Participants; and
WHEREAS, the Parties wish to update the list of currently available Funds as set forth in Appendix A;
NOW, THEREFORE, in consideration of the promises and mutual covenants contained herein, the Parties hereby amend the Agreement as follows:
1. Appendix A of the Agreement is hereby deleted in its entirety and replaced with new Appendix A, attached hereto.
2. Except as modified hereby, all other provisions of the Agreement shall otherwise remain in full force and effect.
3. This Amendment may be executed in two or more counterparts, each of which shall be deemed to be an original, but all of which together shall constitute one and the same Amendment.
|
XXXXXXX RESOLUTION |
XXXXXXXXX XXXXXX XX LLC | |||
|
LIFE INSURANCE COMPANY, |
| |||
|
By Massachusetts Mutual Life Insurance |
| |||
|
Company, Its Administrator |
| |||
|
|
| |||
|
By: |
[Redacted] |
|
By: |
[Redacted] |
|
Name: |
[Redacted] |
|
Name: |
[Redacted] |
|
Title: |
Head of Investment Management |
|
Title: |
Managing Director |
APPENDIX A
All classes of shares of the open-end mutual funds distributed by Xxxxxxxxx Xxxxxx XX LLC and not closed to new investors.(1)
(1) In the case of Class R3, Class R6 or Institutional Class shares, only omnibus or omnibus-by-plan accounts are permitted.
