AMENDMENT NO. 4 FUND OF FUNDS INVESTMENT AGREEMENT
Exhibit (h)(17)(v)
AMENDMENT NO. 4
FUND OF FUNDS INVESTMENT AGREEMENT
Amendment No. 4, effective as of December 19, 2023 (“Amendment No. 4”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and SPDR Series Trust, SPDR Index Shares Funds and SSGA Active Trust (“SPDR Trusts”).
WHEREAS, the EQ Trusts and the SPDR Trusts desire to update the Agreement to add the EQ/Core Plus Bond Portfolio as an Acquiring Fund;
WHEREAS, the EQ Trusts and the SPDR Trusts desire to update the Agreement to change the name of the 1290 Retirement 2060 Fund to 1290 Avantis U.S. Large Cap Growth Fund, effective November 29, 2023;
NOW THEREFORE, the EQ Trusts and the SPDR Trusts agree to modify and amend the Agreement as follows:
Schedule A. Schedule A to the Agreement, which sets forth the Acquiring Funds, is hereby replaced in its entirety by Schedule A attached hereto.
Schedule B. Effective February 28, 2024, Schedule B to the Agreement, which sets forth the Acquired Funds, is hereby replaced in its entirety by Schedule B attached hereto.
Notwithstanding anything to the contrary in the Agreement, until February 28, 2024, any Acquiring Fund that was not listed on the Schedule A in effect immediately prior to this Amendment No. 4 is prohibited from making an initial acquisition of shares of any Acquired Fund in excess of the Section 12(d)(1)(A)(i) limits of the 1940 Act.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms. Capitalized terms used but not defined herein have the meaning ascribed to such terms in the Agreement.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 4 as of the date first above set forth.
| EQ Advisors Trust 1290 Funds | SPDR Series Trust SPDR Index Shares Funds SSGA Active Trust | |||||||
| By: | /s/ Xxxxxxx Xxxxxxxxx | By: | /s/ Xxx X. Xxxxxxxxx | |||||
| Name: Xxxxxxx Xxxxxxxxx | Name: Xxx X. Xxxxxxxxx | |||||||
| Title: Senior Vice President and Chief Investment Officer | Title: President | |||||||
SCHEDULE A
AMENDMENT NO. 4
FUND OF FUNDS INVESTMENT AGREEMENT
Acquiring Funds
1290 VT Convertible Securities Portfolio
1290 VT DoubleLine Opportunistic Bond Portfolio
1290 VT Equity Income Portfolio
1290 VT GAMCO Mergers & Acquisitions Portfolio
1290 VT GAMCO Small Company Value Portfolio
1290 VT High Yield Bond Portfolio
1290 VT Micro Cap Portfolio
1290 VT Moderate Growth Allocation Portfolio
1290 VT Multi-Alternative Strategies Portfolio
1290 VT Natural Resources Portfolio
1290 VT Real Estate Portfolio
1290 VT Small Cap Value Portfolio
1290 VT SmartBeta Equity ESG Portfolio
1290 VT Socially Responsible Portfolio
ATM International Managed Volatility Portfolio
ATM Large Cap Managed Volatility Portfolio
ATM Mid Cap Managed Volatility Portfolio
ATM Small Cap Managed Volatility Portfolio
EQ/2000 Managed Volatility Portfolio
EQ/400 Managed Volatility Portfolio
EQ/500 Managed Volatility Portfolio
EQ/AB Dynamic Aggressive Growth Portfolio
EQ/AB Dynamic Growth Portfolio
EQ/AB Dynamic Moderate Growth Portfolio
EQ/AB Short Duration Government Bond Portfolio
EQ/AB Small Cap Growth Portfolio
EQ/AB Sustainable U.S. Thematic Portfolio
EQ/Aggressive Growth Strategy Portfolio
EQ/All Asset Growth Allocation Portfolio
EQ/American Century Mid Cap Value Portfolio
EQ/American Century Moderate Growth Allocation Portfolio
EQ/Balanced Strategy Portfolio
EQ/Capital Group Research Portfolio
EQ/ClearBridge Large Cap Growth ESG Portfolio
EQ/ClearBridge Select Equity Managed Volatility Portfolio
EQ/Common Stock Index Portfolio
EQ/Conservative Growth Strategy Portfolio
EQ/Conservative Strategy Portfolio
EQ/Core Bond Index Portfolio
EQ/Core Plus Bond Portfolio
EQ/Emerging Markets Equity PLUS Portfolio
EQ/Equity 500 Index Portfolio
EQ/Fidelity Institutional AM® Large Cap Portfolio
EQ/Franklin Moderate Allocation Portfolio
EQ/Franklin Rising Dividends Portfolio
EQ/Franklin Small Cap Value Managed Volatility Portfolio
EQ/Global Equity Managed Volatility Portfolio
EQ/Xxxxxxx Xxxxx Growth Allocation Portfolio
EQ/Xxxxxxx Xxxxx Mid Cap Value Portfolio
EQ/Xxxxxxx Xxxxx Moderate Growth Allocation Portfolio
EQ/Growth Strategy Portfolio
EQ/Intermediate Corporate Bond Portfolio
EQ/Intermediate Government Bond Portfolio
EQ/International Core Managed Volatility Portfolio
EQ/International Equity Index Portfolio
EQ/International Managed Volatility Portfolio
EQ/International Value Managed Volatility Portfolio
EQ/Invesco Xxxxxxxx Portfolio
EQ/Invesco Global Portfolio
EQ/Invesco Global Real Assets Portfolio
EQ/Invesco Moderate Allocation Portfolio
EQ/Invesco Moderate Growth Allocation Portfolio
EQ/Janus Enterprise Portfolio
EQ/JPMorgan Growth Allocation Portfolio
EQ/JPMorgan Growth Stock Portfolio
EQ/JPMorgan Value Opportunities Portfolio
EQ/Large Cap Core Managed Volatility Portfolio
EQ/Large Cap Growth Index Portfolio
EQ/Large Cap Growth Managed Volatility Portfolio
EQ/Large Cap Value Index Portfolio
EQ/Large Cap Value Managed Volatility Portfolio
EQ/Lazard Emerging Markets Equity Portfolio
EQ/Long-Term Bond Portfolio
EQ/Xxxxxx Xxxxxx Growth Portfolio
EQ/MFS International Growth Portfolio
EQ/MFS International Intrinsic Value Portfolio
EQ/MFS Mid Cap Focused Growth Portfolio
EQ/MFS Technology Portfolio
EQ/MFS Utilities Series Portfolio
EQ/Mid Cap Index Portfolio
EQ/Mid Cap Value Managed Volatility Portfolio
EQ/Moderate Growth Strategy Portfolio
EQ/Money Market Portfolio
EQ/Xxxxxx Xxxxxxx Small Cap Growth Portfolio
EQ/PIMCO Global Real Return Portfolio
EQ/PIMCO Real Return Portfolio
EQ/PIMCO Total Return ESG Portfolio
EQ/PIMCO Ultra Short Bond Portfolio
EQ/Quality Bond PLUS Portfolio
EQ/Small Company Index Portfolio
EQ/X. Xxxx Price Health Sciences Portfolio
EQ/Ultra Conservative Strategy Portfolio
EQ/Value Equity Portfolio
EQ/Wellington Energy Portfolio
Equitable Conservative Growth MF/ETF Portfolio
Equitable Growth MF/ETF Portfolio
Equitable Moderate Growth MF/ETF Portfolio
Multimanager Aggressive Equity Portfolio
Multimanager Core Bond Portfolio
Multimanager Technology Portfolio
1290 FUNDS
1290 Avantis U.S. Large Cap Growth Fund
(formerly, 1290 Retirement 2060 Fund)
1290 Diversified Bond Fund
1290 Essex Small Cap Growth Fund
1290 GAMCO Small/Mid Cap Value Fund
1290 High Yield Bond Fund
1290 Xxxxxx Xxxxxx Multi-Asset Income Fund
1290 Multi-Alternative Strategies Fund
1290 SmartBeta Equity Fund
1290 Retirement 2020 Fund
1290 Retirement 2025 Fund
1290 Retirement 2030 Fund
1290 Retirement 2035 Fund
1290 Retirement 2040 Fund
1290 Retirement 2045 Fund
1290 Retirement 2050 Fund
1290 Retirement 2055 Fund
Schedule B – List of Acquired Funds
| SPDR Equity |
Ticker |
Trust | ||
| SPDR MSCI ACWI ex-US ETF | CWI | SPDR Index Shares Funds | ||
| SPDR Dow Xxxxx Global Real Estate ETF | RWO | SPDR Index Shares Funds | ||
| SPDR S&P International Dividend ETF | DWX | SPDR Index Shares Funds | ||
| SPDR S&P Global Natural Resources ETF | GNR | SPDR Index Shares Funds | ||
| SPDR S&P Global Infrastructure ETF | GII | SPDR Index Shares Funds | ||
| SPDR Portfolio Developed World ex-US ETF | SPDW | SPDR Index Shares Funds | ||
| SPDR Portfolio Emerging Markets ETF | SPEM | SPDR Index Shares Funds | ||
| SPDR S&P Emerging Asia Pacific ETF | GMF | SPDR Index Shares Funds | ||
| SPDR S&P China ETF | GXC | SPDR Index Shares Funds | ||
| SPDR S&P International Small Cap ETF | GWX | SPDR Index Shares Funds | ||
| SPDR S&P Emerging Markets Small Cap ETF | EWX | SPDR Index Shares Funds | ||
| SPDR S&P Emerging Markets Dividend ETF | EDIV | SPDR Index Shares Funds | ||
| SPDR Dow Xxxxx International Real Estate ETF | RWX | SPDR Index Shares Funds | ||
| SPDR S&P North American Natural Resources ETF | NANR | SPDR Index Shares Funds | ||
| SPDR S&P Global Dividend ETF | WDIV | SPDR Index Shares Funds | ||
| SPDR Portfolio MSCI Global Stock Market ETF | SPGM | SPDR Index Shares Funds | ||
| SPDR MSCI EAFE Fossil Fuel Reserves Free ETF | EFAX | SPDR Index Shares Funds | ||
| SPDR MSCI Emerging Markets Fossil Fuel Reserves Free ETF | EEMX | SPDR Index Shares Funds | ||
| SPDR MSCI EAFE StrategicFactors ETF | QEFA | SPDR Index Shares Funds | ||
| SPDR MSCI Emerging Markets StrategicFactors ETF | QEMM | SPDR Index Shares Funds | ||
| SPDR MSCI World StrategicFactors ETF | QWLD | SPDR Index Shares Funds | ||
| SPDR MSCI ACWI Low Carbon Target ETF | LOWC | SPDR Index Shares Funds | ||
| SPDR Portfolio Europe ETF | SPEU | SPDR Index Shares Funds | ||
| SPDR EURO STOXX 50 ETF | FEZ | SPDR Index Shares Funds | ||
| SPDR S&P 1500 Value Tilt ETF | VLU | SPDR Series Trust | ||
| SPDR S&P 1500 Momentum Tilt ETF | XXXX | SPDR Series Trust | ||
| SPDR SSGA US Large Cap Low Volatility Index ETF | LGLV | SPDR Series Trust | ||
| SPDR SSGA US Small Cap Low Volatility Index ETF | SMLV | SPDR Series Trust | ||
| SPDR Portfolio S&P 600 Small Cap ETF | SPSM | SPDR Series Trust | ||
| SPDR Portfolio S&P 500 High Dividend ETF | SPYD | SPDR Series Trust | ||
| SPDR NYSE Technology ETF | XNTK | SPDR Series Trust | ||
| SPDR S&P 600 Small Cap Growth ETF | SLYG | SPDR Series Trust | ||
| SPDR Portfolio S&P 500 Growth ETF | SPYG | SPDR Series Trust | ||
| SPDR Portfolio S&P 500 Value ETF | SPYV | SPDR Series Trust | ||
| SPDR Xxx Xxxxx REIT ETF | RWR | SPDR Series Trust | ||
| SPDR Global Dow ETF | DGT | SPDR Series Trust | ||
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | SPTM | SPDR Series Trust | ||
| SPDR S&P Homebuilders ETF | XHB | SPDR Series Trust | ||
| SPDR S&P 600 Small Cap Value ETF | SLYV | SPDR Series Trust | ||
| SPDR S&P Semiconductor ETF | XSD | SPDR Series Trust | ||
| SPDR ICE Preferred Securities ETF | PSK | SPDR Series Trust | ||
| SPDR S&P Aerospace & Defense ETF | XAR | SPDR Series Trust | ||
| SPDR S&P Health Care Equipment ETF | XHE | SPDR Series Trust | ||
| SPDR S&P Health Care Services ETF | XHS | SPDR Series Trust | ||
| SPDR S&P Biotech ETF | XBI | SPDR Series Trust | ||
| SPDR S&P Software & Services ETF | XSW | SPDR Series Trust |
| SPDR S&P Oil & Gas Equipment & Services ETF | XES | SPDR Series Trust | ||
| SPDR S&P Oil & Gas Exploration & Production ETF | XOP | SPDR Series Trust | ||
| SPDR S&P Pharmaceuticals ETF | XPH | SPDR Series Trust | ||
| SPDR S&P Retail ETF | XRT | SPDR Series Trust | ||
| SPDR S&P Transportation ETF | XTN | SPDR Series Trust | ||
| SPDR S&P Regional Banking ETF | KRE | SPDR Series Trust | ||
| SPDR S&P Telecom ETF | XTL | SPDR Series Trust | ||
| SPDR Portfolio S&P 500 ETF | SPLG | SPDR Series Trust | ||
| SPDR Portfolio S&P 400 Mid Cap ETF | SPMD | SPDR Series Trust | ||
| SPDR S&P 400 Mid Cap Value ETF | MDYV | SPDR Series Trust | ||
| SPDR S&P 400 Mid Cap Growth ETF | MDYG | SPDR Series Trust | ||
| SPDR S&P Bank ETF | KBE | SPDR Series Trust | ||
| SPDR S&P Insurance ETF | KIE | SPDR Series Trust | ||
| SPDR S&P Capital Markets ETF | KCE | SPDR Series Trust | ||
| SPDR S&P Dividend ETF | SDY | SPDR Series Trust | ||
| SPDR S&P Metals & Mining ETF | XME | SPDR Series Trust | ||
| SPDR Xxxxxxx 1000 Yield Focus ETF | XXXX | SPDR Series Trust | ||
| SPDR Xxxxxxx 1000 Momentum Focus ETF | ONEO | SPDR Series Trust | ||
| SPDR Xxxxxxx 1000 Low Volatility Focus ETF | ONEV | SPDR Series Trust | ||
| SPDR SSGA Gender Diversity Index ETF | SHE | SPDR Series Trust | ||
| SPDR FactSet Innovative Technology ETF | XITK | SPDR Series Trust | ||
| SPDR S&P Kensho Intelligent Structures ETF | XXXX | SPDR Series Trust | ||
| SPDR S&P Kensho Future Security ETF | XXXX | SPDR Series Trust | ||
| SPDR S&P Kensho Smart Mobility ETF | HAIL | SPDR Series Trust | ||
| SPDR S&P Kensho New Economies Composite ETF | KOMP | SPDR Series Trust | ||
| SPDR S&P Kensho Final Frontiers ETF | ROKT | SPDR Series Trust | ||
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | SPYX | SPDR Series Trust | ||
| SPDR S&P Kensho Clean Power ETF | CNRG | SPDR Series Trust | ||
| SPDR MSCI USA StrategicFactors ETF | QUS | SPDR Series Trust | ||
| SPDR S&P 500 ESG ETF | EFIV | SPDR Series Trust | ||
| SPDR S&P SmallCap 600 ESG ETF | ESIX | SPDR Series Trust | ||
| SPDR MSCI USA Climate Paris Aligned ETF | NZUS | SPDR Series Trust | ||
| SPDR Portfolio S&P Sector Neutral Dividend ETF | SPDG | SPDR Series Trust |
| SPDR Fixed Income |
Ticker |
Trust | ||
| SPDR SSGA Ultra Short Term Bond ETF | ULST | SPDR Series Trust | ||
| SPDR Portfolio Intermediate Term Treasury ETF | SPTI | SPDR Series Trust | ||
| SPDR Portfolio Long Term Treasury ETF | SPTL | SPDR Series Trust | ||
| SPDR Portfolio TIPS ETF | SPIP | SPDR Series Trust | ||
| SPDR Bloomberg Barclays High Yield Bond ETF | JNK | SPDR Series Trust | ||
| SPDR Bloomberg Barclays International Treasury Bond ETF | BWX | SPDR Series Trust | ||
| SPDR FTSE International Government Inflation-Protected Bond ETF | WIP | SPDR Series Trust | ||
| SPDR Bloomberg Barclays Emerging Markets Local Bond ETF | EBND | SPDR Series Trust | ||
| SPDR Portfolio Mortgage Backed Bond ETF | SPMB | SPDR Series Trust | ||
| SPDR Portfolio Intermediate Term Corporate Bond ETF | SPIB | SPDR Series Trust | ||
| SPDR Portfolio Long Term Corporate Bond ETF | SPLB | SPDR Series Trust | ||
| SPDR Bloomberg Barclays Convertible Securities ETF | CWB | SPDR Series Trust |
| SPDR Bloomberg Barclays Short Term International Treasury Bond ETF | BWZ | SPDR Series Trust | ||
| SPDR Portfolio Short Term Corporate Bond ETF | SPSB | SPDR Series Trust | ||
| SPDR Bloomberg Barclays International Corporate Bond ETF | IBND | SPDR Series Trust | ||
| SPDR Portfolio Corporate Bond ETF | SPBO | SPDR Series Trust | ||
| SPDR Bloomberg Barclays Investment Grade Floating Rate ETF | FLRN | SPDR Series Trust | ||
| SPDR Portfolio Aggregate Bond ETF | SPAB | SPDR Series Trust | ||
| SPDR Portfolio Short Term Treasury ETF | SPTS | SPDR Series Trust | ||
| SPDR Bloomberg Barclays Short Term High Yield Bond ETF | SJNK | SPDR Series Trust | ||
| SPDR Bloomberg Barclays 1-10 Year TIPS ETF | TIPX | SPDR Series Trust | ||
| SPDR Portfolio High Yield Bond ETF | SPHY | SPDR Series Trust | ||
| SPDR Barclays 1-3 Month T-Bill ETF | BIL | SPDR Series Trust | ||
| SPDR Bloomberg Barclays 3-12 Month T-Bill ETF | BILS | SPDR Series Trust | ||
| SPDR Bloomberg Barclays Emerging Markets USD Bond ETF | EMHC | SPDR Series Trust | ||
| SPDR MarketAxess Investment Grade 400 Corporate Bond ETF | LQIG | SPDR Series Trust |
| SPDR Sub-Advised |
Ticker |
Trust | ||
| SPDR Blackstone Senior Loan ETF | SRLN | SSGA Active Trust | ||
| SPDR DoubleLine Total Return Tactical ETF | TOTL | SSGA Active Trust | ||
| SPDR DoubleLine Emerging Markets Fixed Income ETF | EMTL | SSGA Active Trust | ||
| SPDR Nuveen Bloomberg Barclays Short Term Municipal Bond ETF | SHM | SPDR Series Trust | ||
| SPDR Nuveen Bloomberg Barclays Municipal Bond ETF | TFI | SPDR Series Trust | ||
| SPDR Xxxxxx Xxxxxxxxx Barclays High Yield Municipal Bond ETF | HYMB | SPDR Series Trust | ||
| SPDR Nuveen Municipal Bond ETF | MBND | SPDR Series Trust | ||
| SPDR Nuveen Municipal Bond ESG ETF | MBNE | SSGA Active Trust |
