Exhibit (d)(1)(ix)
AMENDMENT NO. 3
TO THE
AMENDED AND RESTATED
INVESTMENT MANAGEMENT AGREEMENT
AMENDMENT NO. 3 to the Amended and Restated Investment Management
Agreement ("Amendment No. 3"), dated as of November 22, 2002, between EQ
Advisors Trust, a Delaware business trust the ("Trust") and The Equitable Life
Assurance Society of the United States, a New York stock life insurance company
("Equitable" or "Manager").
The Trust and Equitable agree to modify and amend the Amended and
Restated Management Agreement dated as of May 1, 2000 ("Agreement") and as
amended by Amendment No. 1 dated as of September 1, 2000 and Amendment No. 2
dated as of September 1, 2001 (collectively, the "Amendments"), as follows:
1. Appendix A. Appendix A to the Agreement and Amendments, which set
forth the Portfolios of the Trust for which Equitable is
appointed investment manager, and
2. Appendix B. Appendix B to the Agreement and Amendments, which set
forth the fees payable to Equitable 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 fully 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.
THE EQUITABLE LIFE ASSURANCE
EQ ADVISORS TRUST SOCIETY OF THE UNITED STATES
/s/ Xxxxxx X. Xxxxx /s/ Xxxxx X. Xxxxx
------------------------ ----------------------------------
Xxxxxx X. Xxxxx Xxxxx X. Xxxxx
Vice President and Chief Executive Vice President and Chief
Financial Officer Investment Officer
Exhibit (d)(1)(ix)
APPENDIX A
AMENDMENT NO. 3
TO THE
AMENDED AND RESTATED
INVESTMENT MANAGEMENT AGREEMENT
Portfolios
EQ/Alliance International Portfolio
EQ/Alliance Common Stock Portfolio
EQ/Alliance Growth and Income Portfolio
EQ/High Yield Portfolio
(fka EQ/Alliance High Yield Portfolio)
EQ/Alliance Intermediate Government
Securities Portfolio
EQ/Money Market Portfolio
EQ/Aggressive Stock Portfolio
(fka Alliance Aggressive Stock Portfolio)
EQ/Alliance Premier Growth Portfolio
EQ/Alliance Technology Portfolio
EQ/Alliance Quality Bond Portfolio
EQ/Alliance Small Cap Growth Portfolio
EQ/Balanced Portfolio
(fka Alliance Balanced Portfolio)
EQ/Xxxxxxxxx Diversified Value Portfolio
EQ/Xxxxxxx Socially Responsible Portfolio
EQ/Capital Guardian International Portfolio
EQ/Capital Guardian Research Portfolio
EQ/Capital Guardian U.S. Equity Portfolio
EQ/Evergreen Omega Portfolio
(fka Evergreen Portfolio)
EQ/Equity 500 Index Portfolio
(fka Alliance Equity Index Portfolio)
EQ/FI Mid Cap Portfolio
EQ/FI Small/Mid Cap Value Portfolio
(fka Warburg Pincus Small Co. Value Portfolio)
EQ/International Equity Index Portfolio
(fka BT International Equity Index Portfolio)
EQ/Janus Large Cap Growth Portfolio
EQ/X.X. Xxxxxx Core Bond Portfolio
(fka JPM Core Bond Portfolio)
EQ/Lazard Small Cap Value Portfolio
EQ/Xxxxxxx Focus Portfolio
EQ/Mercury Basic Value Equity Portfolio
(fka Xxxxxxx Xxxxx Basic Value Equity Portfolio)
EQ/MFS Investors Trust Portfolio
(fka MFS Growth with Income Portfolio)
EQ/MFS Emerging Growth Companies Portfolio
EQ/Emerging Markets Equity Portfolio
EQ/Xxxxxx Growth & Income Value Portfolio
EQ/Xxxxxx International Equity Portfolio
EQ/Xxxxxx Voyager Portfolio
(fka EQ/Xxxxxx Growth Investors Portfolio)
EQ/Small Company Index Portfolio
(fka BT Small Company Index Portfolio)
Exhibit (d)(1)(ix)
APPENDIX B
AMENDMENT NO. 3
TO THE AMENDED AND RESTATED
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) (FEE ON ALL ASSETS)
------------------------------------------------------------------------------------------------------------------------------
INDEX PORTFOLIOS
--------------------------------------- --------------------------------------------------------------------------------------
EQ/Equity 500 Index 0.250%
--------------------------------------- --------------------------------------------------------------------------------------
EQ/International Equity Index 0.350%
--------------------------------------- --------------------------------------------------------------------------------------
EQ/Small Company Index 0.250%
--------------------------------------- --------------------------------------------------------------------------------------
(AS A PERCENTAGE OF AVERAGE DAILY NET ASSETS)
------------------------------------------------------------------------------------------------------------------------------
FIRST NEXT NEXT NEXT
DEBT PORTFOLIOS $750 MILLION $750 MILLION $1 BILLION $2.5 BILLION THEREAFTER
--------------- ------------ ------------ ---------- ------------ ----------
------------------------------------------------ --------------- ---------------- --------------- ------------- --------------
EQ/High Yield 0.600% 0.575% 0.550% 0.530% 0.520%
------------------------------------------------ --------------- ---------------- --------------- ------------- --------------
EQ/Alliance Intermediate Government Securities 0.500% 0.475% 0.450% 0.430% 0.420%
------------------------------------------------ --------------- ---------------- --------------- ------------- --------------
EQ/Alliance Money Market 0.350% 0.325% 0.300% 0.280% 0.270%
------------------------------------------------ --------------- ---------------- --------------- ------------- --------------
EQ/Alliance Quality Bond 0.525% 0.500% 0.475% 0.455% 0.445%
------------------------------------------------ --------------- ---------------- --------------- ------------- --------------
EQ/X.X. Xxxxxx Core Bond 0.450% 0.425% 0.400% 0.380% 0.370%
------------------------------------------------ --------------- ---------------- --------------- ------------- --------------
(AS A PERCENTAGE OF AVERAGE DAILY NET ASSETS)
------------------------------------------------------------------------------------------------------------------------------
FIRST NEXT NEXT
EQUITY PORTFOLIOS $1 BILLION $1 BILLION NEXT $3 BILLION $5 BILLION THEREAFTER
----------------- ---------- ---------- ---------- ---------- ----------
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Alliance Common Stock 0.550% 0.500% 0.475% 0.450% 0.425%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Alliance Growth and Income 0.600% 0.550% 0.525% 0.500% 0.475%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Alliance International 0.750% 0.700% 0.675% 0.650% 0.625%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Alliance Premier Growth 0.900% 0.850% 0.825% 0.800% 0.775%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Alliance Small Cap Growth 0.750% 0.700% 0.675% 0.650% 0.625%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Alliance Technology 0.900% 0.850% 0.825% 0.800% 0.775%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Aggressive Stock 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Balanced 0.600% 0.550% 0.525% 0.500% 0.475%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Xxxxxxxxx Diversified Value 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Xxxxxxx Socially Responsible 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Capital Guardian International 0.850% 0.800% 0.775% 0.750% 0.725%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Capital Guardian Research 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Capital Guardian U.S. Equity 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Evergreen Omega 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/FI Small/Mid Cap Value 0.750% 0.700% 0.675% 0.650% 0.625%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/FI Mid Cap 0.700% 0.650% 0.625% 0.600% 0.575%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Janus Large Cap Growth 0.900% 0.850% 0.825% 0.800% 0.775%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Lazard Small Cap Value 0.750% 0.700% 0.675% 0.650% 0.625%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Xxxxxxx Focus 0.900% 0.850% 0.825% 0.800% 0.775%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Mercury Basic Value Equity 0.600% 0.550% 0.525% 0.500% 0.475%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/MFS Emerging Growth Companies 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/MFS Investors Trust 0.600% 0.550% 0.525% 0.500% 0.475%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Emerging Markets Equity 1.150% 1.100% 1.075% 1.050% 1.025%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Xxxxxx Growth & Income Value 0.600% 0.550% .0525% 0.500% 0.475%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Xxxxxx International Equity 0.850% 0.800% 0.775% 0.750% 0.725%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
EQ/Xxxxxx Voyager 0.650% 0.600% 0.575% 0.550% 0.525%
---------------------------------------- ------------------ ---------------- ---------------- --------------- ----------------
