AMENDMENT NUMBER 5 TO THE SUB-ADVISORY AGREEMENT
Exhibit d.(iv).b
AMENDMENT NUMBER 5
TO THE
This Amendment Number 5 (the “Amendment”) amends that certain Sub-Advisory Agreement, dated August 2, 2017 (the “Agreement”), by and between Hartford Funds Management Company, LLC (“Adviser”), and Wellington Management Company LLP (“Sub-Adviser”), and is effective as of August 7, 2019.
WHEREAS, the Adviser has appointed, and the Board of Directors (the “Board”) of The Hartford Mutual Funds, Inc. (the “Company”) has approved the Sub-Adviser to serve as the sub-adviser of the series of the Company listed on Schedule A to the Agreement (collectively, the “Funds”); and
WHEREAS, the Adviser and the Sub-Adviser desire to amend the Agreement as described herein and as approved by the Board at its meeting held on August 7, 2019;
NOW, THEREFORE, the parties to the Agreement hereby agree as follows:
| 1. | Effective November 8, 2019, Section 2(s) of the Agreement is deleted in its entirety and replaced with the following: |
not consult with any other investment sub-adviser of the Company that is not affiliated with the Sub-Adviser (if any), or with the sub-adviser to any other investment company (or separate series thereof) managed by the Adviser concerning a Fund’s transactions in securities or other assets, except for purposes of complying with the conditions of Rule 12d3-1(a) and (b) under the 1940 Act, and, to the extent that multiple sub-advisers may be engaged to provide services to any Fund, the Sub-Adviser shall be responsible for providing investment advisory services only with respect to the portion of the Fund allocated to the Sub-Adviser by the Adviser; and
| 2. | Pursuant to Section 15 of the Agreement, Schedules A and B are deleted in their entirety and replaced with the attached Amended and Restated Schedules A and B to the Agreement. |
| 3. | The changes to the Agreement reflected in this Amendment shall become effective as of the as of the respective effective date reflected in this Amendment. |
| 4. | Except as amended by this Amendment and any previous amendment, the terms of the Agreement remain unchanged and may be further modified only by mutual written agreement of the parties and the approval of the Board. |
| 5. | This Amendment may be executed by the parties hereto on any number of counterparts, and all of said counterparts taken together shall be deemed to constitute one and the same instrument. |
[signatures follow on next page]
IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first above written.
| WELLINGTON MANAGEMENT COMPANY LLP | ||
| By: | /s/ Xxxxxx X. Xxxxx | |
| Name: | Xxxxxx X. Xxxxx | |
| Title: | Senior Managing Director | |
| HARTFORD FUNDS MANAGEMENT COMPANY, LLC | ||
| By: | /s/ Xxxxxx X. Xxxxx | |
| Name: | Xxxxxx X. Xxxxx | |
| Title: | Chief Investment Officer | |
AMENDED AND RESTATED SCHEDULE A
List of Funds
This Amended and Restated Schedule A to that certain Sub-Advisory Agreement by and between Hartford Funds Management Company, LLC and Wellington Management Company LLP, dated August 2, 2017, is effective as of August 7, 2019, with certain revisions to be effective as of the date reflected on this Amended and Restated Schedule A.
THE HARTFORD MUTUAL FUNDS, INC.
on behalf of:
| Hartford AARP Balanced Retirement Fund |
| The Hartford Balanced Income Fund |
| The Hartford Capital Appreciation Fund |
| Hartford Core Equity Fund |
| The Hartford Dividend and Growth Fund |
| Hartford Emerging Markets Equity Fund |
| The Hartford Emerging Markets Local Debt Fund |
| Hartford Environmental Opportunities Fund (effective through November 7, 2019); Hartford Climate Opportunities Fund (effective as of November 8, 2019)1 |
| The Hartford Equity Income Fund |
| The Hartford Floating Rate Fund |
| The Hartford Floating Rate High Income Fund |
| The Hartford Global All-Asset Fund2 |
| Hartford Global Impact Fund (effective as of October 4, 2019)3 |
| The Hartford Global Real Asset Fund |
| The Hartford Healthcare Fund |
| The Hartford High Yield Fund |
| The Hartford Inflation Plus Fund |
| Hartford International Equity Fund |
| The Hartford International Growth Fund |
| The Hartford International Opportunities Fund |
| 1 | Hartford Environmental Opportunities Fund will change its name to Hartford Climate Opportunities Fund effective as of November 8, 2019. |
| 2 | The Hartford Global All-Asset Fund will reorganize into the Hartford AARP Balanced Retirement Fund effective September 20, 2019, and will automatically be deleted from this Schedule A on September 20, 2019, or such other date on which the reorganization is completed. |
| 3 | Hartford Global Impact Fund is added to Sub-Advisory Agreement effective October 4, 2019, upon the unwinding of the master-feeder structure. |
| The Hartford International Small Company Fund (effective through November 22, 2019)4 |
| The Hartford International Value Fund |
| The Hartford MidCap Fund |
| The Hartford MidCap Value Fund |
| Hartford Multi-Asset Income and Growth Fund |
| Hartford Municipal Income Fund |
| The Hartford Municipal Opportunities Fund |
| Hartford Municipal Short Duration Fund |
| The Hartford Quality Bond Fund |
| The Hartford Short Duration Fund |
| Hartford Small Cap Value Fund |
| The Hartford Small Company Fund |
| The Hartford Strategic Income Fund |
| The Hartford Total Return Bond Fund |
| The Hartford World Bond Fund |
| 4 | The Hartford International Small Company Fund will reorganize into Hartford Global Impact Fund effective November 22, 2019, and will automatically be deleted from this Schedule A on November 22, 2019, or such other date on which the reorganization is completed. |
AMENDED AND RESTATED SCHEDULE B
Fees Paid to the Sub-Adviser
[REDACTED]
