AMENDMENT TO THE RETAIL FUND PARTICIPATION AGREEMENT
THIS AMENDMENT is made and entered into as of the 18th day of Jan., 2013 between
Hartford Life Insurance Company ("Hartford"), Hartford Securities Distribution
Company, Inc., Xxxxxxxxx Investment Management, Inc., ("Advisor"), and Xxxxxxxxx
Securities Corp. a Delaware corporation ("Distributor").
WHEREAS, the parties have entered into a Retail Fund Participation Agreement,
dated June 29, 2004 (the "Agreement").
WHEREAS, the parties desire to amend the Agreement as set forth herein,
NOW, THEREFORE, the parties agree as follows:
1. Schedules A and B shall be replaced by the attached Schedules A and B.
2. Revised Section 5.1:
Section 5.1 shall read:
The Advisor shall pay the fees and expenses provided for in the attached
SCHEDULE B. The Company will calculate the amount of the fee at the end of each
payment period and submit an invoice to the Advisor within 30 days of the end of
the payment period for which payment is due. The invoice will contain the total
number of participants then existing at the end of that payment period for each
Fund. Notwithstanding anything else contained herein or in the Agreement, the
Account Servicer understands and agrees that Xxxxxxxxx shall not pay the Account
Servicer any Service Fees with respect to assets of the Funds which are held on
behalf of defined benefit plans.
IN WITNESS HEREOF, the parties hereto have executed and delivered this Amendment
effective as of the date first written above.
HARTFORD LIFE INSURANCE XXXXXXXXX INVESTMENT
COMPANY MANAGEMENT, INC.
By: /s/ Xxxx Xxxxxxx By: /s/ Xxxxx Xxxxxxxx
------------------------------- -------------------------------
Name: Xxxx Xxxxxxx Name: Xxxxx Xxxxxxxx
------------------------------- Title: Managing Director
Title: Senior Vice President
------------------------------- Date: 1/23/13
Date: 3/11/13 -------------------------------
-------------------------------
HARTFORD SECURITIES XXXXXXXXX SECURITIES, INC.
DISTRIBUTION COMPANY, INC.
By: /s/ Xxxxx X. Xxxxxx By: /s/ Xxxxx Xxxxxxxx
------------------------------- -------------------------------
Name: Xxxxx X. Xxxxxx Name: Xxxxx Xxxxxxxx
------------------------------- Title: Vice President
Title: VP, CEO & COO Date: 1/23/13
------------------------------- -------------------------------
Date: 3/4/13
-------------------------------
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SCHEDULE A
SEPARATE ACCOUNTS
Each Separate Account established by resolution of the Board of Directors of the
Company under the insurance laws of the State of Connecticut to set aside and
invest assets attributable to the Contracts. Currently, those Separate Accounts
are as follows:
401 MARKET
----------
K, Kl, K2, K3, K4
TK, TK1, TK2, TK3, TK4
VK, VK1, VK2, VK3, VK4
UK, XX0, XX0, XX0, XX0, 401
403 AND 457 MARKETS
-------------------
DCI, DCII, DCIII, DCIV, DCV, DCVI, 457, 403, UFC,
Separate Account Two, Separate Account Eleven
PORTFOLIOS
Value Fund R3 TVRFX
International Value R3 TGVRX
Core Growth R3 THCRX
Investment Income Xxxx X0 XXXXX
Xxxxxx Xxxxxxxxxxxxx X0 XXXXX
International Growth R3 TIGVX
Limited Term Income R3 THIRX
Limited Term US Govt R3 LTURX
Value Fund R4 TVIRX
International Value R4 THVRX
Core Growth R4 TCGRX
Investment Income Bldr R4 TIBGX
Global Opportunities R4 THOVX
International Growth R4 TINVX
Value Fund R5 TVRRX
International Value R5 TIVRX
Core Growth R5 THGRX
Investment Income Bldr R5 TIBMX
Global Opportunities R5 THOFX
International Growth R5 TINFX
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Strategic Income R3 TSIRX
Strategic Income R5 TSRRX
Limited Term Income R5 THRRX
Limited Term US Govt R5 LTGRX
Developing World R5 THDRX
International Value R6 TGIRX
International Growth R6 THGIX
Developing World R6 TDWRX
SCHEDULE B
In consideration of the services provided by the Company listed below, Advisor
agrees to pay the Company an amount equal to the following Administrative basis
points Fees per annum on the average aggregate amount invested by the Company's
Separate Account(s) in each Portfolio under the Fund Participation Agreement,
such amounts to be paid within 30 days of receipt of an invoice from Hartford.
SERVICE
PORTFOLIO FEES
--------------------------------------------------------------------
Xxxxxxxxx Value R3 0.25%
Xxxxxxxxx International Value R3 0.25%
Xxxxxxxxx Core Growth R3 0.25%
Xxxxxxxxx Investment Income Builder R3 0.20%
Xxxxxxxxx Global Opportunities R3 0.20%
Xxxxxxxxx International Growth R3 0.20%
Xxxxxxxxx Strategic Income R3 0.05%
Xxxxxxxxx Limited Term Income R3 0.05%
Xxxxxxxxx Limited Term US Govt R3 0.05%
Xxxxxxxxx Value Fund R4 0.25%
Xxxxxxxxx International Value R4 0.25%
Xxxxxxxxx Core Growth R4 0.25%
Xxxxxxxxx Investment Income Builder R4 0.25%
Xxxxxxxxx Global Opportunities R4 0.25%
Xxxxxxxxx International Growth R4 0.25%
Xxxxxxxxx Value Fund R5 0.20%
Xxxxxxxxx International Value R5 0.20%
Xxxxxxxxx Core Growth R5 0.20%
Xxxxxxxxx Investment Income Bldr R5 0.20%
Xxxxxxxxx Global Opportunities R5 0.20%
Xxxxxxxxx International Growth R5 0.20%
Xxxxxxxxx Developing World R5 0.20%
Xxxxxxxxx Strategic Income R5 0.05%
Xxxxxxxxx Limited Term Income R5 0.05%
Xxxxxxxxx Limited Term US Govt R5 0.05%
Xxxxxxxxx International Value R6 0.00%
Xxxxxxxxx International Growth R6 0.00%
Xxxxxxxxx Developing World R6 0.00%
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In addition to the fees set forth in this Agreement, the Company will receive a
12b-1 fee in accordance with the then current prospectus of the applicable Fund.
SERVICES TO BE PERFORMED INCLUDE:
(a) assist in processing customer purchase and redemption requests;
(b) answer customer inquiries regarding account status and history;
(c) assist customers in designating and changing account designations
and addresses;
(d) provide periodic statements showing customer account balances;
(e) furnish statements and confirmations of all purchase and redemption
requests as may be required by applicable law;
(f) process customer purchase and redemption requests for Shares and
placing purchase and redemption instructions with the Funds'
transfer agent; and
(g) provide sub-accounting services and maintain accurate sub-accounting
records regarding Shares beneficially owned by customers.
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