SEVENTH AMENDMENT TO SELLING AND SERVICES AGREEMENT
Exhibit 24(b)(8.135)
SEVENTH AMENDMENT
TO SELLING AND SERVICES AGREEMENT
This Seventh Amendment to Selling and Services Agreement (“Amendment”) is entered into by and among Xxxx Xxxxx Investor Services, LLC (the “Distributor”), Voya Retirement Insurance and Annuity Company (formerly ING Life Insurance and Annuity Company) (“VRIAC”), Voya Institutional Plan Services, LLC (formerly ING Institutional Plan Services, LLC) (“Voya Institutional”) and Voya Financial Partners, LLC (formerly ING Financial Advisers, LLC) (“Voya Financial” collectively with VRIAC and Voya Institutional “Voya”), and with the Distributor (the “Parties”).
WHEREAS, the Parties entered into a Selling and Services Agreement dated February 1, 200l, as amended December 31, 2004, August 5, 2009, December 4, 2009, March 1, 2011, November l, 2011 and September 19, 2012 (the “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;
WHEREAS, the Parties desire to amend the Agreement;
NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:
1. Appendix I of this Amendment, attached hereto, supersedes and replaces in its entirety the Appendix I of the Agreement. Voya's compensation will be as shown in Appendix I.
2. Schedule A of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule A of the Agreement. Voya's compensation will be as shown in Schedule A.
3. Anti-Bribery & Corruption. The Parties represent and warrant that they understand the requirements of all applicable laws, rules or regulations relating to bribery and corruption both in the Parties' home jurisdictions and in any other jurisdictions which may have a connection to the services performed by the Parties in connection with this Agreement. Voya further represents and warrants that it will fully and faithfully comply with all requirements of such laws, rules or regulations in connection with all activities under or in any way connected with this Agreement and such requirements that the Distributor may notify to Voya.
4. Notices. Notices required by this Agreement should be sent as follows:
Voya: c/o VRIAC/Voya Financial
Attn: Xxxxxxxxxx Xxxxxxx
Fax: 000-000-0000
Distributor: c/x Xxxx Xxxxx
000 Xxxxxxxx Xxxxx, 0xx Xxxxx Xxxxxxxx, XX 00000
Attn: Business Implementation
Fax: 000-000-0000
5. Effectiveness of Payment Obligations. No compensation, fees or payment obligations contemplated by this Agreement will accrue until the date that the Agreement is executed by the Distributor.
6. Other Terms. Other than the foregoing, all other terms and conditions of the Agreement shall remain unchanged and in full force and effect and are ratified and confirmed in all respects by the Parties to this Amendment.
For the purpose of referring to this Amendment, the date of this Amendment shall be the date of acceptance by Xxxx Xxxxx Investor Services, LLC.
Xxxx Xxxxx Investor Services, LLC Voya Retirement Insurance and Annuity Company
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By: |
/s/Xxxxxxx X. Xxxxxxx |
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By: |
/s/Xxx Xxxxxxx |
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Name: |
Xxxxxxx X. Xxxxxxx |
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Name: |
Xxxx Xxxxxxx |
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Title: |
Director |
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Title: |
Vice President |
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Date: |
12/17/14 |
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Date: |
11/25/14 |
Western Asset Management Company Voya Institutional Plan Services, LLC
(solely as a limited party for the purpose of approving
those fee payment obligations allocated to Distributor
on behalf of the Western Asset family of funds)
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By: |
/s/Xxxxxxx X. Xxx Xxxxxxxxx |
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By: |
/s/Xxxx Xxxxxxx |
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Name: |
Xxxxxxx X. Xxx Xxxxxxxxx |
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Name: |
Xxxx Xxxxxxx |
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Title: |
Head of New York Operations/ |
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Title: |
Vice President |
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Client Service/Marketing |
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Date: |
11/25/14 |
Voya Financial Partners, LLC
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By: |
/s/Xxxxx Xxxxxxx IV |
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|
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Name: |
Xxxxx Xxxxxxx IV |
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|
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Title: |
President and Chief Executive Officer |
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Date: |
12/2/14 |
APPENDIX I
The following funds and shares of funds are attributable only to those Plans for which Voya Institutional serves as recordkeeper and that hold those shares of funds as of the date of this Amendment or to those Plans previously record kept on the Voya Institutional recordkeeping system (Heritage Citistreet) and are now record kept by another Voya affiliated platform.
The Pricing Below is Applicable to the 401(k) Advisor Program Only:
Xxxx Xxxxx Class D - Funds with annual compensation on assets comprised or recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP
|
|
QS Batterymarch S&P 500 Index Fund |
D |
SBSDX |
00000X000 |
Western Asset Money Market Funds -Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP
|
|
Western Asset Government Reserves |
A |
SMGXX |
00000X000 |
The Pricing Below is Applicable to the Class A Grandfathered (k)Choice Program Plans Only:
Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP
|
|
QS Batterymarch S&P 500 Index Fund |
A |
SBSPX |
00000X000 |
Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps and $xx per participant account.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Aggressive Growth Fund |
A |
SHRAX |
00000X000 |
|
ClearBridge All Cap Value Fund |
A |
SHFVX |
00000X000 |
|
ClearBridge Appreciation Fund |
A |
SHAPX |
00000X000 |
|
ClearBridge Equity Income Fund |
A |
SOPAX |
00000X000 |
|
ClearBridge International Value Fund |
A |
SBIEX |
00000X000 |
|
ClearBridge Large Cap Growth Fund |
A |
SBLGX |
00000X000 |
|
ClearBridge Large Cap Value Fund |
A |
SINAX |
00000X000 |
|
ClearBridge Mid Cap Core Fund |
A |
SBMAX |
00000X000 |
|
ClearBridge Small Cap Growth Fund |
A |
SASMX |
00000X000 |
|
ClearBridge Small Cap Value Fund |
A |
SBVAX |
00000X000 |
|
ClearBridge Tactical Dividend Income Fund |
A |
CFLGX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
A |
SBFAX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
A |
SSIAX |
00000X000 |
|
QS Batterymarch Global Equity Fund |
A |
CFIPX |
00000X000 |
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
A |
LMBAX |
524686433 |
|
QS Xxxx Xxxxx Lifestyle Allocation 30% |
A |
SBCPX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 50% |
A |
SBBAX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 70% |
A |
SCGRX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 85% |
A |
SCHAX |
00000X000 |
|
Western Asset Corporate Bond Fund |
A |
SIGAX |
00000X000 |
|
Western Asset Global High Yield Bond Fund |
A |
SAHYX |
00000X000 |
|
Western Asset Global Strategic Income Fund |
A |
SDSAX |
00000X000 |
|
Western Asset Mortgage Backed Securities Fund |
A |
SGVAX |
00000X000 |
|
Western Asset Short Duration High Income Fund |
A |
SHIAX |
00000X000 |
|
Western Asset Short-Term Bond Fund |
A |
SBSTX |
00000X000 |
Western Asset Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Core Bond Fund |
A |
WABAX |
957663495 |
|
Western Asset Core Plus Bond Fund |
A |
WAPAX |
957663461 |
|
Western Asset Global Government Bond Fund |
A |
WAOAX |
957663263 |
|
Western Asset Global Multi-Sector Fund |
A |
WALAX |
957663438 |
|
Western Asset High Yield Fund |
A |
WAYAX |
957663396 |
|
Western Asset Inflation Indexed Plus Bond Fund |
A |
WAFAX |
957663362 |
|
Western Asset Intermediate Bond Fund |
A |
WATAX |
957663339 |
|
Western Asset Total Return Unconstrained Fund |
A |
WAUAX |
957663230 |
SCHEDULE A
Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Aggressive Growth Fund |
A |
SHRAX |
00000X000 |
|
ClearBridge All Cap Value Fund |
A |
SHFVX |
00000X000 |
|
ClearBridge Appreciation Fund |
A |
SHAPX |
00000X000 |
|
ClearBridge Equity Fund |
A |
LMQAX |
524695202 |
|
ClearBridge Equity Income Fund |
A |
SOPAX |
00000X000 |
|
ClearBridge International Value Fund |
A |
SBIEX |
00000X000 |
|
ClearBridge Large Cap Growth Fund |
A |
SBLGX |
00000X000 |
|
ClearBridge Large Cap Value Fund |
A |
SINAX |
00000X000 |
|
ClearBridge Mid Cap Core Fund |
A |
SBMAX |
00000X000 |
|
ClearBridge Mid Cap Growth Fund |
A |
LBGAX |
00000X000 |
|
ClearBridge Small Cap Growth Fund |
A |
SASMX |
00000X000 |
|
ClearBridge Small Cap Value Fund |
A |
SBVAX |
524690513 |
|
ClearBridge Tactical Dividend Income Fund |
A |
CFLGX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
A |
SBFAX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
A |
SSIAX |
00000X000 |
|
Permal Alternative Core Fund |
A |
LPTAX |
00000X000 |
|
QS Batterymarch Global Equity Fund |
A |
CFIPX |
00000X000 |
|
Western Asset Adjustable Rate Income Fund |
A |
ARMZX |
00000X000 |
|
Western Asset Corporate Bond Fund |
A |
SIGAX |
00000X000 |
|
Western Asset Emerging Markets Debt Fund |
A |
LWEAX |
00000X000 |
|
Western Asset Global High Yield Bond Fund |
A |
SAHYX |
00000X000 |
|
Western Asset Global Strategic Income Fund |
A |
SDSAX |
00000X000 |
|
Western Asset Mortgage Backed Securities Fund |
A |
SGVAX |
00000X000 |
|
Western Asset Short Duration High Income Fund |
A |
SHIAX |
00000X000 |
|
Western Asset Short-Term Bond Fund |
A |
SBSTX |
00000X000 |
Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Global Growth Trust |
A |
LGGAX |
524686540 |
|
ClearBridge Special Investment Trust |
A |
LMSAX |
524686482 |
|
ClearBridge Value Trust |
A |
LGVAX |
524686623 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
A |
LROAX |
524686722 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
A |
LBWAX |
524686789 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
A |
GOBAX |
524686383 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
A |
LWOAX |
524686656 |
|
Xxxx Xxxxx Opportunity Trust |
A |
LGOAX |
524708107 |
|
QS Batterymarch Emerging Markets Fund |
A |
LMRAX |
524686177 |
|
QS Batterymarch International Equity Fund |
A |
LMEAX |
524686292 |
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
A |
LMBAX |
524686433 |
|
QS Xxxx Xxxxx Strategic Real Return Fund |
A |
LRRAX |
524686607 |
Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
QS Batterymarch S&P 500 lndex Fund |
A |
SBSPX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 30% |
A |
SBCPX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 50% |
A |
SBBAX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 70% |
A |
SCGRX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 85% |
A |
SCHAX |
00000X000 |
Western Asset Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Core Bond Fund |
A |
WABAX |
957663495 |
|
Western Asset Core Plus Bond Fund |
A |
WAPAX |
957663461 |
|
Western Asset Global Government Bond Fund |
A |
WAOAX |
957663263 |
|
Western Asset Global Multi-Sector Fund |
A |
WALAX |
957663438 |
|
Western Asset High Yield Fund |
A |
WAYAX |
957663396 |
|
Western Asset Inflation Indexed Plus Bond Fund |
A |
WAFAX |
957663362 |
|
Western Asset Intermediate Bond Fund |
A |
WATAX |
957663339 |
|
Western Asset Total Return Unconstrained Fund |
A |
WAUAX |
957663230 |
Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Aggressive Growth Fund |
C |
SAGCX |
00000X000 |
|
ClearBridge All Cap Value Fund |
C |
SFVCX |
00000X000 |
|
ClearBridge Appreciation Fund |
C |
SAPCX |
00000X000 |
|
ClearBridge Equity Fund |
C |
LMQCX |
524695400 |
|
ClearBridge Equity Income Fund |
C |
SBPLX |
00000X000 |
|
ClearBridge GlobaJ Growth Trust |
C |
LMGTX |
524686532 |
|
ClearBridge International Value Fund |
C |
SBICX |
00000X000 |
|
ClearBridge Large Cap Growth Fund |
C |
SLCCX |
00000X000 |
|
ClearBridge Large Cap Value Fund |
C |
SINOX |
00000X000 |
|
ClearBridge Mid Cap Core Fund |
C |
SBMLX |
00000X000 |
|
ClearBridge Mid Cap Growth Fund |
C |
LBGCX |
00000X000 |
|
ClearBridge Small Cap Growth Fund |
C |
SCSMX |
00000X000 |
|
ClearBridge Small Cap Value Fund |
C |
SBVLX |
00000X000 |
|
ClearBridge Special Investment Trust |
C |
LMASX |
524686474 |
|
ClearBridge Tactical Dividend Income Fund |
C |
SMDLX |
00000X000 |
|
ClearBridge Value Trust |
C |
LMVTX |
524686615 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
C |
LAOCX |
524686128 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
C |
LBWCX |
524686771 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund
|
C |
LGOCX |
524686144 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
C |
LIOCX |
524686136 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
C |
SFSLX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
C |
SESLX |
00000X000 |
|
Xxxx Xxxxx Opportunity Trust |
C |
LMOPX |
00000X000 |
|
Permal Alternative Core Fund |
C |
LPTCX |
00000X000 |
|
QS Batterymarch Emerging Markets Fund |
C |
LMEMX |
524686235 |
|
QS Batterymarch Global Equity Fund |
C |
SILLX |
00000X000 |
|
QS Batterymarch International Equity Fund |
C |
LMGEX |
524686284 |
|
QS Xxxx Xxxxx Strategic Real Return Fund |
C |
LRRCX |
524686706 |
|
Western Asset Adjustable Rate Income Fund |
C |
LWAIX |
00000X000 |
|
Western Asset Corporate Xxxx Xxxx |
X |
XXXXX |
00000X000 |
|
Xxxxxxx Xxxxx Emerging Markets Debt Fund |
C |
WAEOX |
00000X000 |
|
Western Asset Global High Yield Bond Fund |
C |
LWGOX |
00000X000 |
|
Western Asset Global Strategic Income Fund |
C |
LWSIX |
00000X000 |
|
Western Asset Mortgage Backed Securities Fund |
C |
LWMSX |
00000X000 |
|
Western Asset Short Duration High Income Fund |
C |
LWHIX |
00000X000 |
|
Western Asset Short-Term Bond Fund |
C |
LWSOX |
00000X000 |
Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
QS Xxxx Xxxxx Lifestyle Allocation 30% |
C |
LWLAX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 50% |
C |
SCBCX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 70% |
C |
SCGCX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 85% |
C |
SCHCX |
00000X000 |
Western Asset Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Core Bond Fund |
C |
WABCX |
957663487 |
|
Western Asset Core Plus Bond Fund |
C |
WAPCX |
957663453 |
|
Western Asset Global Government Bond Fund |
C |
WAOCX |
957663255 |
|
Western Asset Global Multi-Sector Fund |
C |
WALCX |
957663420 |
|
Western Asset High Xxxxx Xxxx |
X |
XXXXX |
000000000 |
|
Xxxxxxx Xxxxx Inflation Indexed Plus Bond Fund |
C |
WAFCX |
957663354 |
|
Western Asset Intermediate Bond Fund |
C |
WATCX |
957663321 |
Xxxx Xxxxx Class C1 - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
C1 |
LROCX |
524686714 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
C1 |
GOBCX |
524686375 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
C1 |
LWOCX |
524686649 |
|
Western Asset Adjustable Rate Income Fund |
C1 |
ARMGX |
00000X000 |
|
Western Asset Corporate Bond Fund |
C1 |
SBILX |
00000X000 |
|
Western Asset Emerging Markets Debt Fund |
C1 |
LWECX |
00000X000 |
|
Western Asset Global High Yield Bond Fund |
C1 |
SHYCX |
00000X000 |
|
Western Asset Global Strategic Income Fund |
C1 |
SDSIX |
00000X000 |
|
Western Asset Mortgage Backed Securities Fund |
C1 |
SGSLX |
00000X000 |
|
Western Asset Short Duration High Income Fund |
C1 |
SHICX |
00000X000 |
|
Western Asset Short-Term Bond Fund |
C1 |
SSTLX |
00000X000 |
Xxxx Xxxxx Class C1 - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
QS Xxxx Xxxxx Lifestyle Allocation 30% |
C1 |
SBCLX |
00000X000 |
Xxxx Xxxxx Class D - Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
QS Batterymarch S&P 500 Index Fund |
D |
SBSDX |
00000X000 |
Xxxx Xxxxx Class FI - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Global Growth Trust |
FI |
LMGFX |
524686516 |
|
ClearBridge Special Investment Trust |
FI |
LGASX |
524686458 |
|
ClearBridge Value Trust |
FI |
LMVFX |
524686565 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
FI |
LBAFX |
524686698 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
FI |
GOBFX |
524686326 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
FI |
LWOFX |
524686300 |
|
Xxxx Xxxxx Opportunity Trust |
FI |
LMOFX |
00000X000 |
|
QS Batterymarch Emerging Markets Fund |
FI |
LGFMX |
524686219 |
|
QS Batterymarch International Equity Fund |
FI |
LGFEX |
524686268 |
Western Asset Class FI - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Core Bond Fund |
FI |
WAPIX |
957663404 |
|
Western Asset Core Plus Bond Fund |
FI |
WACIX |
957663602 |
|
Western Asset Enhanced Equity Fund |
FI |
TBD |
957663784 |
|
Western Asset Global Government Bond Fund |
FI |
TBD |
957663859 |
|
Western Asset Global Multi-Sector Fund |
FI |
WGMFX |
957663727 |
|
Western Asset High Yield Fund |
FI |
TBD |
957663834 |
|
Western Asset Intermediate Bond Fund |
FI |
WAIFX |
957663800 |
|
Western Asset Money Market Fund |
FI |
TBD |
957663768 |
|
Western Asset Total Return Unconstrained Fund |
FI |
WARIX |
957663693 |
|
Western Asset US Govt Money Market Fund |
FI |
TBD |
957663743 |
Xxxx Xxxxx Class I -Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Aggressive Growth Fund |
I |
SAGYX |
00000X000 |
|
ClearBridge All Cap Value Fund |
I |
SFVYX |
00000X000 |
|
ClearBridge Appreciation Fund |
I |
SAPYX |
00000X000 |
|
ClearBridge Equity Fund |
I |
LMQIX |
524695509 |
|
ClearBridge Equity Income Fund |
I |
SOPYX |
00000X000 |
|
ClearBridge International Value Fund |
I |
SBIYX |
00000X000 |
|
ClearBridge Large Cap Growth Fund |
I |
SBLYX |
00000X000 |
|
ClearBridge Large Cap Value Fund |
I |
SAIFX |
00000X000 |
|
ClearBridge Mid Cap Core Fund |
I |
SMBYX |
00000X000 |
|
ClearBridge Mid Cap Growth Fund |
I |
LBGIX |
00000X000 |
|
ClearBridge Small Cap Growth Fund |
I |
SBPYX |
00000X000 |
|
ClearBridge Small Cap Value Fund |
I |
SMCYX |
00000X000 |
|
ClearBridge Tactical Dividend Income Fund |
I |
LADIX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Financial Services Fund |
I |
LMRIX |
00000X000 |
|
Xxxx Xxxxx Investment Counsel Social Awareness Fund |
I |
LMRNX |
00000X000 |
|
Permal Alternative Core Fund |
I |
LPTIX |
00000X000 |
|
QS Batterymarch Global Equity Fund |
I |
SMYIX |
00000X000 |
|
Western Asset Adjustable Rate Income Fund |
I |
SBAYX |
00000X000 |
|
Western Asset Corporate Bond Fund |
I |
SIGYX |
00000X000 |
|
Western Asset Emerging Markets Debt Fund |
I |
SEMDX |
00000X000 |
|
Western Asset Global Strategic Income Fund |
I |
SDSYX |
00000X000 |
|
Western Asset Mortgage Backed Securities Fund |
I |
SGSYX |
00000X000 |
|
Western Asset Short-Term Bond Fund |
I |
SBSYX |
00000X000 |
|
Western Asset Short Duration High Income Fund |
I |
SHIYX |
00000X000 |
Xxxx Xxxxx Class I -Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
I |
LROIX |
524686672 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
I |
LBWIX |
524686755 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
I |
GOBIX |
524686334 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
I |
LWOIX |
524686409 |
|
QS Xxxx Xxxxx Lifestyle Allocation 30% |
I |
LMGIX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 50% |
I |
LMEIX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 70% |
I |
LLAIX |
00000X000 |
|
QS Xxxx Xxxxx Lifestyle Allocation 85% |
I |
LANIX |
00000X000 |
|
Western Asset Global High Yield Bond Fund |
I |
SHYOX |
00000X000 |
|
Western Asset Short Term Yield Fund |
I |
WTYIX |
00000X000 |
Xxxx Xxxxx Class I - Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Global Growth Trust |
I |
LMGNX |
524686524 |
|
ClearBridge Special Investment Trust |
I |
LMNSX |
524686466 |
|
ClearBridge Value Trust |
I |
LMNVX |
524686573 |
|
Xxxx Xxxxx Opportunity Trust |
I |
LMNOX |
00000X000 |
|
QS Batterymarch Emerging Markets Fund |
I |
LGEMX |
524686227 |
|
QS Batterymarch International Equity Fund |
I |
LGIEX |
524686276 |
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
I |
LMSIX |
524686359 |
|
QS Xxxx Xxxxx Strategic Real Return Fund |
I |
LRRIX |
524686888 |
Western Asset Class I -Funds with annual compensation on assets comprised of recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Asian Opportunities Fund |
I |
LWAOX |
957663529 |
|
Western Asset Core Bond Fund |
I |
WATFX |
957663305 |
|
Western Asset Core Plus Bond Fund |
I |
WACPX |
957663503 |
|
Western Asset Enhanced Equity Fund |
I |
TBD |
957663792 |
|
Western Asset Global Government Bond Fund |
I |
WAFIX |
957663867 |
|
Western Asset Global Multi-Sector Fund |
I |
WGMIX |
957663735 |
|
Western Asset High Yield Fund |
I |
WAHYX |
957663842 |
|
Western Asset Inflation Indexed Plus Bond Fund |
I |
WAIIX |
957663883 |
|
Western Asset Intermediate Bond Fund |
I |
WATIX |
957663701 |
|
Western Asset Macro Opportunities Fund |
I |
LAOIX |
00000X000 |
|
Western Asset Money Market Fund |
I |
TBD |
957663776 |
|
Western Asset Total Return Unconstrained Fund |
I |
WAARX |
957663719 |
|
Western Asset US Govt Money Market Fund |
I |
TBD |
957663750 |
Xxxx Xxxxx Class IS -Funds with no annual compensation.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Aggressive Growth Fund |
IS |
LSIFX |
00000X000 |
|
ClearBridge All Cap Value Fund |
IS |
LSISX |
00000X000 |
|
ClearBridge Appreciation Fund |
IS |
LMESX |
00000X000 |
|
ClearBridge Energy MLP & Infrastructure Fund |
IS |
LCPSX |
00000X000 |
|
ClearBridge Equity Income Fund |
IS |
LCBEX |
00000X000 |
|
ClearBridge International Value Fund |
IS |
LSIUX |
00000X000 |
|
ClearBridge Large Cap Growth Fund |
IS |
LSITX |
00000X000 |
|
ClearBridge Large Cap Value Fund |
IS |
LMLSX |
00000X000 |
|
ClearBridge Mid Cap Core Fund |
IS |
LSIRX |
00000X000 |
|
ClearBridge Mid Cap Growth Fund |
IS |
LCMIX |
00000X000 |
|
ClearBridge Select Fund |
IS |
LCSSX |
00000X000 |
|
ClearBridge Small Cap Growth Fund |
IS |
LMOIX |
00000X000 |
|
ClearBridge Small Cap Value Fund |
IS |
LCBIX |
00000X000 |
|
ClearBridge Tactical Dividend Income Fund |
IS |
LCBDX |
00000X000 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
IS |
LROSX |
524686664 |
|
Xxxx Xxxxx XX Alternative Credit Fund |
IS |
LMAMX |
00000X000 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
IS |
LBISX |
524686730 |
|
Xxxx Xxxxx XX Global High Yield Fund |
IS |
LMZIX |
524686151 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
IS |
GOBSX |
524686318 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
IS |
LMOTX |
524686508 |
|
Xxxxxx Income Opportunity Trust |
IS |
LMCMX |
00000X000 |
|
Permal Alternative Core Fund |
IS |
LPTSX |
00000X000 |
|
Permal Alternative Select Fund |
IS |
PASQX |
00000X000 |
|
QS Batterymarch Emerging Markets Fund |
IS |
LGMSX |
524686193 |
|
QS Batterymarch International Equity Fund |
IS |
LIESX |
524686243 |
|
QS Batterymarch Managed Volatility Global Dividend Fund |
IS |
LDIFX |
00000X000 |
|
QS Batterymarch Managed Volatility International Dividend Fund |
IS |
LDIVX |
00000X000 |
|
QS Batterymarch U.S. Large Cap Equity Fund |
IS |
LMISX |
00000X000 |
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
IS |
LMBMX |
524686391 |
|
QS Xxxx Xxxxx Strategic Real Return Fund |
IS |
LRRSX |
524686870 |
|
Western Asset Adjustable Rate Income Fund |
IS |
ARMLX |
00000X000 |
|
Western Asset Emerging Markets Debt Fund |
IS |
LWISX |
00000X000 |
|
Western Asset Global High Yield Bond Fund |
IS |
LWGSX |
00000X000 |
|
Western Asset Global Strategic Income Fund |
IS |
WAGIX |
00000X000 |
|
Western Asset Short-Term Bond Fund |
IS |
XXXXX |
00000X000 |
|
Western Asset Short Term Yield Fund |
IS |
TBD |
00000X000 |
Western Asset Class IS - Funds with no annual compensation.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Asian Opportunities Fund |
IS |
LWOPX |
957663511 |
|
Western Asset Core Bond Fund |
IS |
WACSX |
957663677 |
|
Western Asset Core Plus Bond Fund |
IS |
WAPSX |
957663669 |
|
Western Asset Global Government Bond Fund |
IS |
WAOSX |
957663560 |
|
Western Asset Global Multi-Sector Fund |
IS |
WGMSX |
957663644 |
|
Western Asset High Yield Fund |
IS |
WAHSX |
957663636 |
|
Western Asset Inflation Indexed Plus Bond Fund |
IS |
WAFSX |
957663545 |
|
Western Asset Intermediate Bond Fund |
IS |
WABSX |
957663610 |
|
Western Asset Total Return Unconstrained Fund |
IS |
WAASX |
957663685 |
Xxxx Xxxxx Class R - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Aggressive Growth Fund |
R |
LMPRX |
00000X000 |
|
ClearBridge Appreciation Fund |
R |
LMPPX |
00000X000 |
|
ClearBridge Equity Income Fund |
R |
LMMRX |
00000X000 |
|
ClearBridge Global Growth Trust |
R |
LMGRX |
524686490 |
|
ClearBridge Large Cap Growth Fund |
R |
LMPLX |
00000X000 |
|
ClearBridge Mid Cap Core Fund |
R |
LMREX |
00000X000 |
|
ClearBridge Small Cap Growth Fund |
R |
LMPOX |
00000X000 |
|
ClearBridge Special Investment Trust |
R |
LMARX |
524686441 |
|
ClearBridge Value Trust |
R |
LMVRX |
524686557 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
R |
LBARX |
524686680 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
R |
LBORX |
524686367 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
R |
LWORX |
524686631 |
|
Xxxx Xxxxx Opportunity Trust |
R |
LMORX |
00000X000 |
|
QS Batterymarch Emerging Markets Fund |
R |
LBERX |
524686185 |
|
QS Batterymarch International Equity Fund |
R |
LMIRX |
524686250 |
|
QS Batterymarch U .S. Small Capitalization Equity Fund |
R |
LMBRX |
524686417 |
Western Asset Class R - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Core Bond Fund |
R |
WABRX |
957663479 |
|
Western Asset Core Plus Bond Fund |
R |
WAPRX |
957663446 |
|
Western Asset Global Government Bond Fund |
R |
WAORX |
957663248 |
|
Western Asset Global Multi-Sector Fund |
R |
WALRX |
957663412 |
|
Western Asset High Yield Fund |
R |
WAYRX |
957663370 |
|
Western Asset Inflation Indexed Plus Bond Fund |
R |
WAFRX |
957663347 |
|
Western Asset Intermediate Bond Fund |
R |
WATRX |
957663313 |
|
Western Asset Total Return Unconstrained Fund |
R |
WAURX |
957663214 |
Xxxx Xxxxx Class P - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xxbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Corporate Bond Fund |
P |
LCBPX |
00000X000 |
Western Asset Money Market Funds - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of xx.xbps.
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Government Reserves |
A |
SMGXX |
00000X000 |
|
Western Asset Liquid Reserves |
A |
LLAXX |
00000X000 |
