Contract
Exhibit 99-B.8.114
ADDENDUM TO AGREEMENT(S)
This is an ADDENDUM, dated as of October 1, 2001, to the agreement(s) (which may
be administrative services, sales and services, bank agency, and/or other services or sales
agreement(s) (the “Agreement(s)”) between you (or your affiliate) )collectively, the “Company”)
and Xxxxxxxxx Xxxxxx Management Inc. (“NBMI”) or any mutual funds for which NBMI is
administrator (the “Funds”).
WHEREAS, the Company and NBMI or the Funds are parties to the Agreement(s)
pursuant to which shares of the Funds are made available to clients of the Company and the
Company provides services to the Funds on behalf of NBMI with respect to the clients.
WHEREAS, in December 2000 and February 2001, the Funds were reorganized (the
“Reorganization”) form a two-tiered master-feeder structure to a single-tiered multi-class
structure, in which the investment companies that had been know as “Xxxxxxxxx Xxxxxx Equity
Trust,” “Xxxxxxxxx Xxxxxx Income Trust,” and “Xxxxxxxxx Xxxxxx Equity Assets”
(collectively, the Old Trust”) and their series, such as “Xxxxxxxxx Xxxxxx Guardian Trust” or
“Xxxxxxxxx Xxxxxx Partners Assets”) (each a ‘feeder fund”) were reorganized into the
investment company known as Xxxxxxxxx Xxxxxx Equity Funds (the “Trust”) and the feeder
funds became part of the corresponding series of the Trust (each, a “Fund”); for example,
“Xxxxxxxxx Xxxxxx Guardian Trust” became part of “Xxxxxxxxx Xxxxxx Guardian Fund” and
“Xxxxxxxxx Xxxxxx Partners Assets became part of “Xxxxxxxxx Xxxxxx Partners Fund.”
WHEREAS, each Fund was organized into classes corresponding to the feeder funds,
such that “Xxxxxxxxx Xxxxxx Focus Fund”: became “Xxxxxxxxx Xxxxxx Focud Fund Investor
Class”,; “Xxxxxxxxx Xxxxxx Guardian Trust” became “Xxxxxxxxx Xxxxxx Guardian Fund Trust
Class”; and “Xxxxxxxxx Xxxxxx Partners Assets” became “Xxxxxxxxx Xxxxxx Partners Fund
Advisor Class.”
WHEREAS, the parties which to amend the Agreement(s) to reflect the Reorganization.
NOW, THEREFORE, in consideration of the promises and mutual covenants
hereinafter contained, the parties agree as follows:
1. Each Agreement is hereby amended by deleting the names of the investment companies
listed in the left column wherever they appear therein and substituting therefore the names and
classes of the investment companies listed in the right column:
OLD NAMES
Xxxxxxxxx Xxxxxx Equity Funds
Xxxxxxxxx Xxxxxx Income Funds
Xxxxxxxxx Xxxxxx Equity Trust
Xxxxxxxxx Xxxxxx Income Trust
Xxxxxxxxx Xxxxxx Equity Assets
NEW NAMES
Xxxxxxxxx Xxxxxx Equity Funds Investor Class
Xxxxxxxxx Xxxxxx Income Funds Investor Class
Xxxxxxxxx Xxxxxx Equity Funds Trust Class
Xxxxxxxxx Xxxxxx Income Funds Trust Class
Xxxxxxxxx Xxxxxx Equity Funds Advisor Class
2. The list of Funds designated as Appendix A (or, in some Agreements, as another exhibit
or schedule), to each Agreement is hereby deleted in its entirety and replaced by the appropriate
new Appendix A (or exhibit or schedule) attached to this Addendum, as follows:
(a) Administrative Services Agreements with NBMI relating to Xxxxxxxxx Xxxxxx
Equity Trust, Xxxxxxxxx Xxxxxx Income Trust, Xxxxxxxxx Xxxxxx Equity Assets and/or
Xxxxxxxxx Xxxxxx Equity Series: Appendix A (or other exhibit or schedule) is hereby deleted in
its entirety and replaced by “Appendix A – Admin.-Trust and Advisor Classes” attached hereto.
(b) Sales and Services Agreements or Bank Agency Agreements with NBMI relating
to Xxxxxxxxx Xxxxxx Equity Assets: Appendix A (or other exhibit or schedule) is hereby
deleted in its entirety and replaced by “Appendix A-12b-1-Advisor Class” attached hereto.
(c) Administrative Services Agreements with Xxxxxxxxx Xxxxxx Equity Funds, or
Xxxxxxxxx Xxxxxx Income Funds: Appendix A (or other exhibit or schedule) is hereby deleted
in its entirety and replaced by “Appendix A – Admin. Investor Class” attached hereto.
(d) Sales, Fund/SERV, Networking or Agency Agreements with NBMI relating to
Xxxxxxxxx Xxxxxx Equity Funds or Xxxxxxxxx Xxxxxx Income Funds: Appendix A (or other
exhibit or schedule) is hereby deleted in its entirety and replaced by “Appendix A-Trading-
Investor Class” attached hereto.
Notwithstanding anything to the contrary in the Agreements, NBMI may from time to
time update Appendix A (or other exhibit or schedule) to the Agreement, with a copy to the
Company in due course, to add a new Fund, delete an inactive or terminated Fund, or reflect the
change of name of a Fund. The establishment by the Company of an account in any Fund,
whether or not as yet reflected on an updated Appendix A or exhibit or schedule, shall constitute
the agreement by the Company and NBMI to be bound by the provisions of this Agreement with
respect to that Fund.
3. Except as modified hereby, all other terms and conditions of the Agreement(s) shall
remain in full force and effect.
4. This Addendum may be executed in two or more counterparts, each of which shall be
deemed to be an original, but all of which together shall constitute one and the same Addendum.
| [COMPANY] | XXXXXXXXX XXXXXX | ||
| AETNA LINFE INSURANCE AND | MANAGEMENT INC. | ||
| ANNUITY COMPANY | |||
| By: | /s/ Xxxxxx X. Xxxxxxxxxxx | By: | /s/ Xxxxxx Xxxxx |
| Name: | Xxxxxx X. Xxxxxxxxxxx | Name: | Xxxxxx Xxxxx |
| Title: | Vice President | Title | Snr Vice President |
2
APPENDIX A-Admin.-Trust and Advisor Classes
| NAME OF FUND AND CLASS | CUSIP | NASDAQ SYMBOL |
| Xxxxxxxxx Xxxxxx Equity Funds, Trust Class | ||
| Xxxxxxxxx Xxxxxx Century Fund Trust Class | 640917878 | |
| Xxxxxxxxx Xxxxxx Focus Fund Trust Class | 640917506 | NBFCX |
| Xxxxxxxxx Xxxxxx Genesis Fund Trust Class | 640917100 | NBGEX |
| Xxxxxxxxx Xxxxxx Guardian Fund Trust Class | 640917209 | NBGTX |
| Xxxxxxxxx Xxxxxx International Fund Trust Class | 640917704 | |
| Xxxxxxxxx Xxxxxx Manhattan Fund Trust Class | 640917308 | NBMTX |
| Xxxxxxxxx Xxxxxx Millennium Fund Trust Class | 640917803 | NBMOX |
| Xxxxxxxxx Xxxxxx Partners Fund Trust Class | 640917407 | NBPTX |
| Xxxxxxxxx Xxxxxx Regency Fund Trust Class | 640917886 | NBREX |
| Xxxxxxxxx Xxxxxx Socially Responsive Fund Trust | 640917860 | NBSTX |
| Class | ||
| Xxxxxxxxx Xxxxxx Technology Fund Trust Class | 640917852 | |
| Xxxxxxxxx Xxxxxx Income Funds, Trust Class | ||
| Xxxxxxxxx Xxxxxx Limited Maturity Bond Fund | 640916201 | NBLTX |
| Trust Class | ||
| Xxxxxxxxx Xxxxxx Equity Funds, Advisor Class | ||
| Xxxxxxxxx Xxxxxx Focus Fund Advisor Class | 00000X000 | NBFAX |
| Xxxxxxxxx Xxxxxx Genesis Fund Advisor Class | 00000X000 | NBGAX |
| Xxxxxxxxx Xxxxxx Guardian Fund Advisor class | 00000X000 | NBGUX |
| Xxxxxxxxx Xxxxxx Manhattan Fund Advisor Class | 00000X000 | NBMBX |
| Xxxxxxxxx Xxxxxx Partners Fund Advisor Class | 00000X000 | NBPBX |
| 3 |
| APPENDIX A-12b-1-Advisor Class | ||
| NAME OF FUND AND CLASS | CUSIP | NASDAQ SYMBOL |
| Xxxxxxxxx Xxxxxx Equity Funds, Advisor Class | ||
| Xxxxxxxxx Xxxxxx Focus Fund Advisor Class | 00000X000 | NBFAX |
| Xxxxxxxxx Xxxxxx Genesis Fund Advisor Class | 00000X000 | NBGAX |
| Xxxxxxxxx Xxxxxx Guardian Fund Advisor Class | 00000X000 | NBGUX |
| Xxxxxxxxx Xxxxxx Manhattan Fund Advisor Class | 00000X000 | NBMBX |
| Xxxxxxxxx Xxxxxx Partners Fund Advisor Class | 00000X000 | NBPBX |
| 4 | ||
APPENDIX A-Admin.-Investor Class
Only the Investor Classes of the Funds that correlate with the series of former NB Equtiy Funds
or Income Funds listed on the list of funds attached to the Agreement are covered by the
Agreement. For example, if the list of funds contained “Xxxxxxxxx Xxxxxx Focus Fund (a series
of Xxxxxxxxx Xxxxxx Equity Funds)” it now will cover “Xxxxxxxxx Xxxxxx Focus Fund Investor
Class.”
| NAME OF FUND AND CLASS | CUSIP | NASDAQ SYMBOL |
| Xxxxxxxxx Xxxxxx Equity Funds, Advisor Class | ||
| c | 641224878 | NBCIX |
| Xxxxxxxxx Xxxxxx Xxxxxxxx Fund Investor Class | 641224852 | NBFSX |
| Xxxxxxxxx Xxxxxx Focus Fund Investor Class | 64122 4506 | NBSSX |
| Xxxxxxxxx Xxxxxx Genesis Fund Investor Class | 641224100 | NBGNX |
| Xxxxxxxxx Xxxxxx Guardian Fund Investor Class | 641224209 | NGUAX |
| Xxxxxxxxx Xxxxxx International Fund Investor Class | 641224704 | NBISX |
| Xxxxxxxxx Xxxxxx Manhattan Fund Investor Class | 641224308 | NMANX |
| Xxxxxxxxx Xxxxxx Millennium Fund Investor Class | 641224803 | NBMIX |
| Xxxxxxxxx Xxxxxx Partners Fund Investor Class | 641224407 | NPRTX |
| Xxxxxxxxx Xxxxxx Regency Fund Investor Class | 641224886 | NBRVX |
| Xxxxxxxxx Xxxxxx Socially Responsible Fund | 641224605 | NBSRX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Technology Fund Investor Class | 641224860 | NBTFX |
| Xxxxxxxxx Xxxxxx Income Funds, Investor Class | ||
| Xxxxxxxxx Xxxxxx High Yield Maturity Bond Fund | 640915864 | NBHAX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Limited Maturity Bond Fund | 640915203 | NLMBX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Municipal Securities Trust | 640915401 | NBMUX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Institutional Cash Trust Investor | 640916409 | NBIXX |
| Class | ||
| Xxxxxxxxx Xxxxxx Money Funds, Investor Class | ||
| Xxxxxxxxx Xxxxxx Cash Reserves Fund Investor | 640915104 | NBCXX |
| Class | ||
| Xxxxxxxxx Xxxxxx Government Money Fund | 640915104 | NBGXX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Municipal Money Fund | 640915302 | NBTXX |
5
| APPENDIX A-Trading-Investor Class | ||
| NAME OF FUND AND CLASS | CUSIP | NASDAQ SYMBOL |
| Xxxxxxxxx Xxxxxx Equity Funds, Investor Class | ||
| Xxxxxxxxx Xxxxxx Century Fund Investor Class | 641224878 | NBCIX |
| Xxxxxxxxx Xxxxxx Xxxxxxxx Fund Investor Class | 641224852 | NBFSX |
| Xxxxxxxxx Xxxxxx Focus Fund Investor Class | 64122 4506 | NBSSX |
| Xxxxxxxxx Xxxxxx Genesis Fund Investor Class | 641224100 | NBGNX |
| Xxxxxxxxx Xxxxxx Guardian Fund Investor Class | 641224209 | NGUAX |
| Xxxxxxxxx Xxxxxx International Fund Investor Class | 641224704 | NBISX |
| Xxxxxxxxx Xxxxxx Manhattan Fund Investor Class | 641224308 | NMANX |
| Xxxxxxxxx Xxxxxx Millennium Fund Investor Class | 641224803 | NBMIX |
| Xxxxxxxxx Xxxxxx Partners Fund Investor Class | 641224407 | NPRTX |
| Xxxxxxxxx Xxxxxx Regency Fund Investor Class | 641224886 | NBRVX |
| Xxxxxxxxx Xxxxxx Socially Responsible Fund | 641224605 | NBSRX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Technology Fund Investor Class | 641224860 | NBTFX |
| Xxxxxxxxx Xxxxxx Income Funds, Investor Class | ||
| Xxxxxxxxx Xxxxxx High Yield Maturity Bond Fund | 640915864 | NBHAX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Limited Maturity Bond Fund | 640915203 | NLMBX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Municipal Securities Trust | 640915401 | NBMUX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Institutional Cash Trust Investor | 640916409 | NBIXX |
| Class | ||
| Xxxxxxxxx Xxxxxx Money Funds, Investor Class | ||
| Xxxxxxxxx Xxxxxx Cash Reserves Fund Investor | 640915104 | NBCXX |
| Class | ||
| Xxxxxxxxx Xxxxxx Government Money Fund | 640915104 | NBGXX |
| Investor Class | ||
| Xxxxxxxxx Xxxxxx Municipal Money Fund | 640915302 | NBTXX |
| 6 | ||
