THIRD AMENDMENT TO
Exhibit 24(b)(8.116)
THIRD AMENDMENT TO
FUND PARTICIPATION AGREEMENT
This Third Amendment to Fund Participation 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”) and Voya Financial Partners, LLC (formerly ING Financial Advisers, LLC) (“Voya Financial”), collectively (the “Parties”).
WHEREAS, the Parties entered into a Fund Participation Agreement dated February 1, 2001, as amended March 1, 2011 and September 27, 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. Schedule B of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule B of the Agreement. VRIAC and Voya Financial’s compensation will be as shown in Schedule B.
2. 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. VRIAC and Voya Financial further represent and warrant that they 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 VRIAC and Voya Financial.
3. Paragraph 4 of the First Amendment to Fund Participation Agreement dated March 1, 2011 is hereby deleted in its entirety.
4. Notices. Notices required by this Agreement should be sent as follows:
VRIAC/Voya Financial: VRIAC/Voya Financial_____
___________________________
Attn: Xxxxxxxxxx Salamon___________
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
By: /s/ Xxxxxxx X. Xxxxxxx By: /s/ Xxxx Xxxxxxx
Name: Xxxxxxx X. Xxxxxxx Name: Xxxx Xxxxxxx
Title: Director Title: Vice President
Date: 12/17/14 Date: 11/25/14
Western Asset Management Company Voya Financial Partners, 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)
By: /s/ Xxxxxxx X. Xxx Xxxxxxxxx By: /s/ Xxxxx Xxxxxxx IV
Name: Xxxxxxx X. Xxx Xxxxxxxxx Name: Xxxxx Xxxxxxx IV
Title: Head of New York Operations/Client Service/Marketing Title: President and Chief Executive Officer
Date: ___________________________ Date: 12/2/14
SCHEDULE B
|
Xxxx Xxxxx Class A – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps. |
|||
|
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 |
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 |
|
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 __bps. |
|||
|
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 |
00000X000 |
|
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 __bps. |
|||
|
Fund Name |
Class |
Ticker |
CUSIP |
|
QS Batterymarch S&P 500 Index 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 __bps. |
|||
|
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 __bps. |
|||
|
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 Global 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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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 __bps. |
|
||||||
|
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 __bps. |
|||
|
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 __bps. |
|||
|
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.__bps. |
|||
|
Fund Name |
Class |
Ticker |
CUSIP |
|
Western Asset Government Reserves |
A |
SMGXX |
00000X000 |
|
Western Asset Liquid Reserves |
A |
LLAXX |
00000X000 |
