AMENDMENT TO THE
FUND PARTICIPATION AGREEMENT
This AMENDMENT, dated as of September 12, 2012 between HARTFORD LIFE
INSURANCE COMPANY, located at 000 Xxxxxxxxxx Xxxxxx, Xxxxxxxx, XX 00000 (the
"Company"), and XXXXXXXXX XXXXXX MANAGEMENT LLC located at 000 Xxxxx Xxxxxx, Xxx
Xxxx, XX 00000-0000 ("NBM"), is made to 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, NBM and the Company hereby acknowledge that the Amendment to the
Agreement date October 1, 2009, erroneously excluded the Administrative Service
Fees that NBM is to pay the Company for Investor Class shares of the Xxxxxxxxx
Xxxxxx Equity Funds;
WHEREAS, NBM and the Company desire to amend the Agreement for the purpose
of correcting Schedule A and amended Appendix C with respect to fees paid on the
Investor Class shares;
NOW, THEREFORE, in consideration of the premises and mutual covenants
contained herein, the Parties hereby amend the Agreement as follows:
1. Appendix A and Appendix C of the Agreement are each hereby deleted in
their entirety and replaced with new Appendix A and Appendix C 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.
HARTFORD LIFE INSURANCE COMPANY XXXXXXXXX XXXXXX MANAGEMENT LLC
By: /s/ Xxxxxxx X. Xxxx By: /s/ Xxxxxx Xxxxx
---------------------------------- ---------------------------------
Name: Xxxxxxx X. Xxxx Name: Xxxxxx Xxxxx
Title: AVP Title: President
APPENDIX A
APPENDIX A - P.1
FUND NAME CLASS SYMBOL CUSIP
-------------------------------------------------------------------- --------------------- ---------- -------------
Xxxxxxxxx Xxxxxx Climate Change Fund Institutional NBCLX 641224464
Xxxxxxxxx Xxxxxx Climate Change Fund A NBCAX 641224480
Xxxxxxxxx Xxxxxx Core Bond Fund Institutional NCRLX 00000X000
Xxxxxxxxx Xxxxxx Core Bond Fund A NCRAX 00000X000
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund Institutional NEMIX 641224415
Xxxxxxxxx Xxxxxx Emerging Markets Equity Fund A NEMAX 641224431
Xxxxxxxxx Xxxxxx Equity Income Fund Institutional NBHIX 641224498
Xxxxxxxxx Xxxxxx Equity Income Fund A NBHAX 641224522
Xxxxxxxxx Xxxxxx Focus Fund Trust NBFCX 640917506
Xxxxxxxxx Xxxxxx Focus Fund Advisor NBFAX 00000X000
Xxxxxxxxx Xxxxxx Genesis Fund Trust NBGEX 640917100
Xxxxxxxxx Xxxxxx Genesis Fund Advisor NBGAX 00000X000
Xxxxxxxxx Xxxxxx Genesis Fund Institutional NBGIX 641233200
Xxxxxxxxx Xxxxxx Guardian Fund Trust NBGTX 640917209
Xxxxxxxxx Xxxxxx Guardian Fund Advisor NBGUX 00000X000
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
2
APPENDIX A - P.2
FUND NAME CLASS SYMBOL CUSIP
-------------------------------------------------------------------- --------------------- ---------- -------------
Xxxxxxxxx Xxxxxx International Fund Trust NBITX 640917704
Xxxxxxxxx Xxxxxx International Institutional Fund Institutional NBIIX 641224811
Xxxxxxxxx Xxxxxx International Large Cap Fund Trust NILTX 641224753
Xxxxxxxxx Xxxxxx International Large Cap Fund Institutional NILIX 641224761
Xxxxxxxxx Xxxxxx International Large Cap Fund A NBNAX 641224621
Xxxxxxxxx Xxxxxx International Large Cap Fund R3 NBNRX 641224274
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 Mid Cap Growth Fund 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 Partners Fund Trust NBPTX 640917407
Xxxxxxxxx Xxxxxx Partners Fund Advisor NBPBX 00000X000
Xxxxxxxxx Xxxxxx Partners Fund Institutional NBPIX 641224787
Xxxxxxxxx Xxxxxx Real Estate Fund Trust NBRFX 641224845
Xxxxxxxxx Xxxxxx Real Estate Fund Institutional NBRIX 641224795
Xxxxxxxxx Xxxxxx Regency Fund Trust NBREX 640917886
Xxxxxxxxx Xxxxxx Regency Fund Institutional NBRTX 641224779
Xxxxxxxxx Xxxxxx Select Equities Fund Institutional NBEIX 641224548
Xxxxxxxxx Xxxxxx Select Equities Fund A NBEAX 641224563
3
APPENDIX A - P.3
FUND NAME CLASS SYMBOL CUSIP
-------------------------------------------------------------------- --------------------- ---------- -------------
Xxxxxxxxx Xxxxxx Small and Mid Cap Growth Trust NBATX 641224738
Xxxxxxxxx Xxxxxx Small and Mid Cap Growth Institutional NBAIX 641224746
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 Short Duration Bond Fund Trust NBLTX 640916201
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 Strategic Income Fund Trust NSTTX 00000X000
Xxxxxxxxx Xxxxxx Strategic Income Fund Institutional NSTLX 00000X000
Xxxxxxxxx Xxxxxx Strategic Income Fund A NSTAX 00000X000
4
APPENDIX C
FUNDS AND FEES
DISTRIBUTION-
RELATED OR
TOTAL RECORDKEEPING SERVICING
FUND NAME(1) SHARE CLASS COMPENSATION SALES LOAD FEES FEES(2)
---------------------------- -------------- ------------------- ------------ ------------------ -----------------
All Open-ended Mutual Funds INVESTOR 10 BPS(1) None 10bps(1) 0 bps
administered by NBM LLC
All Open-ended Mutual Funds TRUST 35 BPS(2) None 25bps 10 bps(3)
administered by NBM LLC
All Open-ended Mutual Funds ADVISOR 50 BPS None 25 bps 25 bps
administered by NBM LLC
All Open-ended Mutual Funds INSTITUTIONAL 10 BPS None 10 bps 0 bps
administered by NBM LLC
All Open-ended Mutual Funds A 50 BPS Waived 25bps 25bps
administered by NBM LLC
All Open-ended Mutual Funds R3 75 BPS None 25bps 50bps
administered by NBM LLC
To the extent that a Fund has approved a plan pursuant to Rule 12b-1 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.
5
