Exhibit (h)(4)(xxi)
[FORM OF] AMENDMENT NO. 3
SECOND AMENDED AND RESTATED PARTICIPATION AGREEMENT
Amendment No. 3, dated as of [ , 2014] (“Amendment
No. 3”), to the Second Amended and Restated Participation Agreement, dated as of May 23, 2012, as amended (“Agreement”), by and among EQ Advisors Trust (“Trust”), AXA Equitable Life Insurance Company, AXA Equitable
Funds Management Group, LLC and AXA Distributors, LLC (collectively, the “Parties”).
The Parties hereby agree to modify and
amend the Agreement as follows:
| |
1. |
New Portfolios. The Trust hereby includes the AXA/Horizon Small Cap Value Portfolio, AXA/Lord Xxxxxx Micro Cap Portfolio, AXA/Xxxxxx Xxxxxxx Small Cap Growth Portfolio, AXA/Pacific Global Small Cap Value
Portfolio, Multimanager Aggressive Equity Portfolio, Multimanager Core Bond Portfolio, Multimanager Mid Cap Growth Portfolio, Multimanager Mid Cap Value Portfolio and Multimanager Technology Portfolio in the Agreement from and after the date hereof
for all purposes on the terms and conditions contained in the Agreement. |
| |
2. |
Name Changes: Effective [ , 2014], the following Portfolio’s names shall be changed as follows: |
|
|
|
| Current Name |
|
New Name |
| EQ/Large Cap Value PLUS |
|
AXA Large Cap Value Managed Volatility |
| EQ/Large Cap Core PLUS |
|
AXA Large Cap Core Managed Volatility |
| EQ/Large Cap Growth PLUS |
|
AXA Large Cap Growth Managed Volatility |
| EQ/International Core PLUS |
|
AXA International Core Managed Volatility |
| EQ/Global Multi-Sector Equity |
|
AXA Global Equity Managed Volatility |
| EQ/Mid Cap Value PLUS |
|
AXA Mid Cap Value Managed Volatility |
| EQ/International Value PLUS |
|
AXA International Value Managed Volatility |
| EQ/Mutual Large Cap Equity |
|
AXA/Mutual Large Cap Equity Managed Volatility |
| EQ/Xxxxxxxxx Global Equity |
|
AXA/Xxxxxxxxx Global Equity Managed Volatility |
| EQ/AXA Franklin Small Cap Value Core |
|
AXA/Franklin Small Cap Value Managed Volatility |
| EQ/Franklin Xxxxxxxxx Allocation |
|
AXA/Franklin Xxxxxxxxx Allocation Managed Volatility |
| EQ/Franklin Core Balanced |
|
AXA/Franklin Balanced Managed Volatility |
| AXA Tactical Manager 500 |
|
AXA 500 Managed Volatility |
| AXA Tactical Manager 400 |
|
AXA 400 Managed Volatility |
| AXA Tactical Manager 2000 |
|
AXA 2000 Managed Volatility |
| AXA Tactical Manager International |
|
AXA International Managed Volatility |
| ATM Large Cap |
|
ATM Large Cap Managed Volatility |
| ATM Mid Cap |
|
ATM Mid Cap Managed Volatility |
| ATM Small Cap |
|
ATM Small Cap Managed Volatility |
| ATM International |
|
ATM International Managed Volatility |
| |
3. |
Schedule B. Schedule B to the Agreement, setting forth the Portfolios of the Trust participating on behalf of which the Trust is entering into the Agreement is hereby replaced in its entirety by Schedule 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. 3 as of the date
first above set forth.
|
|
|
|
|
|
|
|
|
| EQ ADVISORS TRUST |
|
|
|
AXA Equitable Life Insurance Company |
|
|
|
|
|
| By: |
|
|
|
|
|
By: |
|
|
|
|
Name: Xxxxx Xxxxx |
|
|
|
|
|
Name: Xxxxxx X. Xxxxx |
|
|
Title: Chief Financial Officer and Treasurer |
|
|
|
|
|
Title Managing Director |
|
|
|
| AXA DISTRIBUTORS, LLC |
|
|
|
AXA Equitable Funds Management Group, LLC |
|
|
|
|
|
| By: |
|
|
|
|
|
By: |
|
|
|
|
Name: Xxxxxxxx X. Xxxx |
|
|
|
|
|
Name: Xxxxxx X. Xxxxx |
|
|
Title: Chairman, President and Chief Executive Officer |
|
|
|
|
|
Title Chairman, Chief Executive Officer and President |
SCHEDULE B
FORM OF AMENDMENT NO. 3
SECOND
AMENDED AND RESTATED PARTICIPATION AGREEMENT
All Asset Growth – Alt 20 Portfolio
All Asset Moderate Growth – Alt 15 Portfolio
All Asset
Aggressive – Alt 25 Portfolio
All Asset Aggressive – Alt 50 Portfolio
All Asset Aggressive – Alt 75 Portfolio
ATM International
Managed Volatility Portfolio (formerly, ATM International Portfolio)
ATM Large Cap Managed Volatility Portfolio
(formerly, ATM Large Cap Portfolio)
ATM Mid Cap Managed Volatility Portfolio (formerly, ATM Mid Cap
Portfolio)
ATM Small Cap Managed Volatility Portfolio (formerly, ATM Small Cap Portfolio)
AXA Aggressive Strategy Portfolio
AXA Balanced Strategy
Portfolio
AXA Conservative Growth Strategy Portfolio
AXA
Conservative Strategy Portfolio
AXA Growth Strategy Portfolio
AXA Moderate Growth Strategy Portfolio
AXA SmartBeta™
Equity Portfolio
AXA 500 Managed Volatility Portfolio (formerly, AXA Tactical Manager 500 Portfolio)
AXA 2000 Managed Volatility Portfolio (formerly, AXA Tactical Manager 2000 Portfolio)
AXA 400 Managed Volatility Portfolio (formerly, AXA Tactical Manager 400 Portfolio)
AXA International Managed Volatility Portfolio (formerly, AXA Tactical Manager International Portfolio)
AXA Ultra Conservative Strategy Portfolio
EQ/AllianceBernstein
Short-Term Bond Portfolio
EQ/AllianceBernstein Short Duration Government Bond Portfolio
EQ/AllianceBernstein Dynamic Wealth Strategies Portfolio
EQ/AllianceBernstein Small Cap Growth Portfolio
AXA/Franklin Small Cap Value Managed Volatility Portfolio (formerly, EQ/AXA Franklin Small Cap Value Core
Portfolio)
EQ/BlackRock Basic Value Equity Portfolio
EQ/Boston Advisors Equity Income Portfolio
EQ/Xxxxxxx Socially
Responsible Portfolio
EQ/Capital Guardian Research Portfolio
EQ/Common Stock Index Portfolio
EQ/Convertible Securities
Portfolio
EQ/Core Bond Index
EQ/Xxxxx New York Venture
Portfolio
EQ/Emerging Markets Equity PLUS Portfolio
EQ/Energy ETF Portfolio
EQ/Equity 500 Index Portfolio
EQ/Equity Growth PLUS Portfolio
AXA/Franklin Balanced Managed Volatility Portfolio (formerly, EQ/Franklin Core Balanced Portfolio)
AXA/Franklin Xxxxxxxxx Allocation Managed Volatility Portfolio (formerly, EQ/Franklin Xxxxxxxxx Allocation
Portfolio)
EQ/GAMCO Mergers and Acquisitions Portfolio
EQ/GAMCO Small Company Value Portfolio
EQ/Global Bond PLUS
Portfolio
AXA Global Equity Managed Volatility Portfolio (formerly, EQ/Global Multi-Sector Equity Portfolio)
EQ/High Yield Bond Portfolio
EQ/Intermediate Government
Bond Index Portfolio
AXA International Core Managed Volatility Portfolio (formerly, EQ/International Core PLUS
Portfolio)
EQ/International ETF Portfolio
EQ/International Equity Index Portfolio
AXA International Value Managed Volatility Portfolio (formerly, EQ/International Value PLUS Portfolio)
EQ/JPMorgan Value Opportunities Portfolio
AXA Large Cap Core Managed Volatility Portfolio (formerly, EQ/Large Cap Core PLUS Portfolio)
EQ/Large Cap Growth Index Portfolio
AXA Large Cap Growth Managed Volatility Portfolio (formerly, EQ/Large Cap Growth PLUS Portfolio)
EQ/Large Cap Value Index Portfolio
AXA Large Cap Value Managed Volatility Portfolio (formerly, EQ/Large Cap Value PLUS Portfolio)
EQ/Lord Xxxxxx Large Cap Core Portfolio
EQ/Low Volatility Global
ETF Portfolio
EQ/MFS International Growth Portfolio
EQ/Mid
Cap Index Portfolio
AXA Mid Cap Value Managed Volatility Portfolio (formerly, EQ/Mid Cap Value PLUS Portfolio)
EQ/Money Market Portfolio
EQ/Montag & Xxxxxxxx
Growth Portfolio
EQ/Xxxxxx Xxxxxxx Mid Cap Growth Portfolio
AXA/Mutual Large Cap Equity Managed Volatility Portfolio (formerly, EQ/Mutual Large Cap Equity Portfolio)
EQ/Natural Resources PLUS Portfolio
EQ/Xxxxxxxxxxx Global
Portfolio
EQ/PIMCO Global Real Return Portfolio
EQ/PIMCO
Ultra Short Bond Portfolio
EQ/Quality Bond PLUS Portfolio
EQ/Real Estate PLUS Portfolio
EQ/Small Company Index Portfolio
EQ/X. Xxxx Price Growth Stock Portfolio
AXA Xxxxxxxxx Global Equity Managed Volatility Portfolio (formerly,
EQ/Templeton Global Equity Portfolio)
EQ/UBS Growth and Income Portfolio
EQ/Invesco Xxxxxxxx Portfolio
EQ/Xxxxx Fargo Omega Growth
Portfolio
AXA/Horizon Small Cap Value Portfolio
AXA/Lord Xxxxxx Micro Cap Portfolio
AXA/Xxxxxx Xxxxxxx Small Cap Growth Portfolio
AXA/Pacific Global Small Cap Value Portfolio
Multimanager Aggressive Equity Portfolio
Multimanager Core Bond Portfolio
Multimanager Mid Cap Growth Portfolio
Multimanager Mid Cap value Portfolio
Multimanager Technology Portfolio
