AMENDMENT NO. 3 TO THE INVESTMENT MANAGEMENT AGREEMENT
Exhibit (d)(1)(i)(A)(iv)
AMENDMENT NO. 3
TO THE
INVESTMENT MANAGEMENT AGREEMENT
AMENDMENT NO. 3 to the Investment Management Agreement (“Amendment No. 3”), effective as of October 1, 2011 between EQ Advisors Trust, a Delaware statutory trust (the “Trust”) and AXA Equitable Funds Management Group, LLC, a limited liability corporation organized in the State of Delaware (“FMG LLC” or “Manager”).
WHEREAS, FMG LLC and the Trust desire to modify the fees paid with respect to ATM Core Bond Portfolio and ATM Government Bond Portfolio; and
WHEREAS, FMG LLC and the Trust desire to reflect new Portfolio names for the ATM Core Bond Portfolio and ATM Government Bond Portfolio;
NOW THEREFORE, the Trust and FMG LLC agree to modify and amend the Investment Management Agreement, dated as of May 1, 2011, as amended (“Agreement”), as follows:
| 1. | Name Changes: The names of the ATM Core Bond Portfolio and ATM Government Bond Portfolio will change to EQ/AllianceBernstein Short-Term Bond Portfolio and EQ/AllianceBernstein Short-Term Government Bond Portfolio, respectively. |
| 2. | Appendix A: Appendix A to the Agreement, which sets forth the Portfolios of the Trust for which FMG LLC is appointed investment manager is hereby replaced in its entirety by Appendix A attached hereto, and |
| 3. | Appendix B: Appendix B to the Agreement, which sets forth the fees payable to FMG LLC 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 full 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.
| EQ ADVISORS TRUST | AXA EQUITABLE FUNDS MANAGEMENT GROUP, LLC | |||||||
| By: | /s/ Xxxxx Xxxxx | By: | /s/ Xxxxxx X. Xxxxx | |||||
| Xxxxx Xxxxx | Xxxxxx X. Xxxxx | |||||||
| Chief Financial Officer and Treasurer |
Chairman, Chief Executive Officer and President | |||||||
APPENDIX A
AMENDMENT NO. 3 TO
INVESTMENT MANAGEMENT AGREEMENT
Portfolios
APPENDIX B
AMENDMENT NO. 3 TO
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:
| Index Portfolios |
First $4 Billion |
Thereafter | ||||||
| EQ/Xxxxxxx Socially Responsible |
0.500 | % | 0.490 | % | ||||
| EQ/Common Stock Index |
0.350 | % | 0.340 | % | ||||
| EQ/Core Bond Index |
0.350 | % | 0.340 | % | ||||
| EQ/Equity 500 Index |
0.250 | % | 0.240 | % | ||||
| EQ/Intermediate Government Bond Index |
0.350 | % | 0.340 | % | ||||
| EQ/International Equity Index |
0.400 | % | 0.390 | % | ||||
| EQ/Large Cap Growth Index |
0.350 | % | 0.340 | % | ||||
| EQ/Large Cap Value Index |
0.350 | % | 0.340 | % | ||||
| EQ/Mid Cap Index |
0.350 | % | 0.340 | % | ||||
| EQ/Small Company Index |
0.250 | % | 0.240 | % | ||||
| (as a percentage of average daily net assets) |
||||||||||||||||||||
| Money Market Portfolio |
First $750 Million |
Next $750 Million |
Next $1 Billion |
Next $2.5 Billion |
Thereafter | |||||||||||||||
| EQ/Money Market |
0.350 | % | 0.325 | % | 0.280 | % | 0.270 | % | 0.250 | % | ||||||||||
| (as a percentage of average daily net assets) |
||||||||||||||||||||
| Equity Portfolios |
First $1 Billion |
Next $1 Billion |
Next $3 Billion |
Next $5 Billion |
Thereafter | |||||||||||||||
| EQ/AllianceBernstein Dynamic Wealth Strategies |
0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | ||||||||||
| EQ/AllianceBernstein Small Cap Growth |
0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | ||||||||||
| EQ/AXA Franklin Small Cap Value Core |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
| EQ/BlackRock Basic Value Equity |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
| EQ/Capital Guardian Research |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
| EQ/Xxxxx New York Venture |
0.850 | % | 0.800 | % | 0.775 | % | 0.750 | % | 0.725 | % | ||||||||||
| EQ/Franklin Core Balanced |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
| EQ/Global Multi-Sector Equity |
0.750 | % | 0.700 | % | 0.675 | % | 0.650 | % | 0.625 | % | ||||||||||
| EQ/International ETF |
0.400 | % | 0.400 | % | 0.400 | % | 0.400 | % | 0.400 | % | ||||||||||
| EQ/JPMorgan Value Opportunities |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
| (as a percentage of average daily net assets) |
||||||||||||||||||||
| Equity Portfolios |
First $1 Billion |
Next $1 Billion |
Next $3 Billion |
Next $5 Billion |
Thereafter | |||||||||||||||
| EQ/Lord Xxxxxx Large Cap Core |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
| EQ/Mutual Large Cap Equity |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
| EQ/Xxxxxx Xxxxxxx Mid Cap Growth |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
| EQ/Xxxxxxxxxxx Global |
0.950 | % | 0.900 | % | 0.875 | % | 0.850 | % | 0.825 | % | ||||||||||
| EQEQ/Xxxxxxxxx Global Equity |
0.700 | % | 0.650 | % | 0.625 | % | 0.600 | % | 0.575 | % | ||||||||||
| EQ/Xxx Xxxxxx Xxxxxxxx |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
| EQ/Xxxxx Fargo Omega Growth |
0.650 | % | 0.600 | % | 0.575 | % | 0.550 | % | 0.525 | % | ||||||||||
| (as a percentage of average daily net assets) |
||||||||||||||||||||
| PLUS Portfolios |
First $2 Billion |
Next $1 Billion |
Next $3 Billion |
Next $5 Billion |
Thereafter | |||||||||||||||
| EQ/Equity Growth PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
| EQ/International Core PLUS |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
| EQ/International Value PLUS |
0.600 | % | 0.550 | % | 0.525 | % | 0.500 | % | 0.475 | % | ||||||||||
| EQ/Mid Cap Value PLUS |
0.550 | % | 0.500 | % | 0.475 | % | 0.450 | % | 0.425 | % | ||||||||||
| EQ/Large Cap Growth PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
| EQ/Large Cap Core PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
| EQ/Large Cap Value PLUS |
0.500 | % | 0.450 | % | 0.425 | % | 0.400 | % | 0.375 | % | ||||||||||
| (as a percentage of average daily net assets) |
||||||||||||
| PLUS Portfolios |
First $4 Billion |
Next $4 Billion |
Thereafter | |||||||||
| EQ/Global Bond PLUS |
0.550 | % | 0.530 | % | 0.510 | % | ||||||
| EQ/Quality Bond PLUS |
0.400 | % | 0.380 | % | 0.360 | % | ||||||
| (as a percentage of average daily net assets) |
||||||||||||
| Fixed Income Portfolios |
First $2 Billion |
Next $2 Billion |
Thereafter | |||||||||
| EQ/AllianceBernstein Short-Term Bond |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| EQ/AllianceBernstein Short-Term Government Bond |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| (as a percentage of average daily net assets) |
||||||||||||
| Tactical Portfolios |
First $3 Billion |
Next $4 Billion |
Thereafter | |||||||||
| ATM International Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| ATM Large Cap Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| ATM Mid Cap Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| ATM Small Cap Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| AXA Tactical Manager 2000 Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| AXA Tactical Manager 400 Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| AXA Tactical Manager 500 Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
| AXA Tactical Manager International Portfolio |
0.450 | % | 0.430 | % | 0.410 | % | ||||||
