FORM OF AMENDMENT NUMBER 9 TO THE INVESTMENT MANAGEMENT AGREEMENT
FORM OF
AMENDMENT NUMBER 9
TO THE
INVESTMENT MANAGEMENT AGREEMENT
This AMENDMENT NUMBER 9 (the “Amendment”), amends that certain INVESTMENT MANAGEMENT AGREEMENT, by and between Hartford Funds Management Company, LLC (the “Adviser”), The Hartford Mutual Funds, Inc. (“HMF”), and The Hartford Mutual Funds II, Inc. (“HMF II”), on their own behalf and on behalf of each series listed on Schedule A hereto (each a “Portfolio” and collectively, the “Portfolios”), dated February 29, 2016, with respect to HMF, and dated March 14, 2016, with respect to HMF II (the “Agreement”), and is effective as of March 1, 2024 (the “Effective Date”).
WHEREAS, the Adviser, HMF and HMF II desire to amend Schedules A and B;
NOW, THEREFORE, the parties to the Agreement hereby agree as follows:
| 1. | Pursuant to Section 14 of the Agreement, Schedules A and B are deleted in their entirety and replaced with the attached amended Schedules A and B to the Agreement. |
| 2. | The changes to Schedules A and B of the Agreement reflected in this Amendment shall become effective as of the respective Effective Date reflected in this Amendment. |
| 3. | Except as amended by this 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 Boards of Directors. |
| 4. | This Amendment may be executed by the parties hereto on any number of counterparts, and all of such 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 Effective Date first above written.
| HARTFORD FUNDS MANAGEMENT COMPANY, LLC | ||||
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| By: |
Xxxxxxx X. Xxxxx | |||
| Title: |
Chief Financial Officer | |||
| THE HARTFORD MUTUAL FUNDS, INC. on behalf of each of its series listed on Schedule A | ||||
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||||
| By: |
Xxxxxx X. Xxxxxxxx | |||
|
|
Title: |
Vice President and Secretary | ||
| THE HARTFORD MUTUAL FUNDS II, INC. on behalf of each of its series listed on Schedule A | ||||
|
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||||
| By: |
Xxxxxx X. Xxxxxxxx | |||
| Title: |
Vice President and Secretary | |||
2
Schedule A
This Schedule A to that certain Investment Management Agreement by and between Hartford Funds Management Company, LLC, The Hartford Mutual Funds, Inc. (“HMF”), and The Hartford Mutual Funds II, Inc. (“HMF II”) dated February 29, 2016, with respect to HMF, and dated March 14, 2016, with respect to HMF II, is effective as of March 1, 2024.
List of Portfolios
| THE HARTFORD MUTUAL FUNDS, INC. on behalf of: |
| Hartford AARP Balanced Retirement Fund1 |
| The Hartford Balanced Income Fund2 |
| The Hartford Capital Appreciation Fund2 |
| The Hartford Checks and Balances Fund2 |
| Hartford Climate Opportunities Fund3 |
| The Hartford Conservative Allocation Fund1 |
| Hartford Core Equity Fund1 |
| The Hartford Dividend and Growth Fund1 |
| Hartford Dynamic Bond Fund4 |
| Hartford Emerging Markets Equity Fund1 |
| The Hartford Emerging Markets Local Debt Fund1 |
| The Hartford Equity Income Fund2 |
| The Hartford Floating Rate Fund1 |
| The Hartford Growth Allocation Fund1 |
| The Hartford High Yield Fund1 |
| The Hartford Inflation Plus Fund1 |
| Hartford International Equity Fund1 |
| The Hartford International Growth Fund2 |
| The Hartford International Opportunities Fund1 |
| The Hartford International Value Fund1 |
| The Hartford MidCap Fund2 |
| The Hartford MidCap Value Fund1 |
| Hartford Moderate Allocation Fund1 |
| Hartford Multi-Asset Income Fund1 |
1 Effective March 14, 2016. Approved by shareholders at a shareholder meeting on March 14, 2016.
2 Effective April 19, 2016. Approved by shareholders at a shareholder meeting on April 19, 2016.
3 Effective February 29, 2016. Approved by written consent of the sole initial shareholder on February 29, 2016.
4 Effective June 6, 2022. Approved by written consent of the sole initial shareholder on June 3, 2022.
| THE HARTFORD MUTUAL FUNDS, INC. on behalf of: |
| Hartford Municipal Short Duration Fund1 |
| Hartford Real Asset Fund1 |
| The Hartford Short Duration Fund1 |
| Hartford Small Cap Value Fund1 |
| The Hartford Strategic Income Fund1 |
| Hartford Sustainable Municipal Bond Fund1 |
| The Hartford Total Return Bond Fund1 |
| The Hartford World Bond Fund1 |
| THE HARTFORD MUTUAL FUNDS II, INC. on behalf of: |
| The Hartford Growth Opportunities Fund1 |
| Hartford Schroders China A Fund6 |
| Hartford Schroders Core Fixed Income Fund (formerly Hartford Schroders Sustainable Core Bond Fund)8 |
| Hartford Schroders Diversified Emerging Markets Fund7 |
| Hartford Schroders Diversified Growth Fund10 |
| Hartford Schroders Emerging Markets Equity Fund5 |
| Hartford Schroders Emerging Markets Multi-Sector Bond Fund5 |
| Hartford Schroders International Contrarian Value Fund9 |
| Hartford Schroders International Multi-Cap Value Fund5 |
| Hartford Schroders International Stock Fund5 |
| Hartford Schroders Sustainable International Core Fund9 |
| Hartford Schroders Tax-Aware Bond Fund5 |
| Hartford Schroders US MidCap Opportunities Fund5 |
| Hartford Schroders US Small Cap Opportunities Fund5 |
| The Hartford Small Cap Growth Fund1 |
5 Effective October 19, 2016. Approved by written consent of the sole initial shareholder on October 19, 2016.
6 Effective March 26, 2020. Approved by written consent of the sole initial shareholder on March 26, 2020.
7 Effective September 24, 2021. Approved by written consent of the sole initial shareholder on September 23, 2021.
8 Effective November 12, 2021. Approved by written consent of the sole initial shareholder on November 10, 2021.
9 Effective May 23, 2022. Approved by written consent of the sole initial shareholder on May 23, 2022.
10 Effective September 12, 2023. Approved by written consent of the sole initial shareholder on September 12, 2023.
4
Schedule B
Fees
This Schedule B to that certain Investment Management Agreement by and between Hartford Funds Management Company, LLC, The Hartford Mutual Funds, Inc. (“HMF”), and The Hartford Mutual Funds II, Inc. (“HMF II”) dated February 29, 2016, with respect to HMF, and dated March 14, 2016, with respect to HMF II, is effective as of March 1, 2024.
As compensation for the services rendered by the Adviser, each Portfolio shall pay to the Adviser as promptly as possible after the last day of each month during the term of this Agreement, a fee accrued daily and paid monthly based upon the following annual rates calculated based on the average daily net asset value of the applicable Portfolio:
| THE HARTFORD MUTUAL FUNDS, INC. |
| Hartford AARP Balanced Retirement Fund | ||
| Average Daily Net Assets Excluding Assets | Annual Rate | |||
| Invested in Affiliated Funds# | ||||
| First $1 billion |
0.3900 | % | ||
| Next $4 billion |
0.3800 | % | ||
| Amount Over $5 billion |
0.3750 | % | ||
| Average Daily Net Assets Invested in Affiliated Funds | 0.0000 | % | ||
| The Hartford Balanced Income Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $250 million |
0.7000 | % | ||
| Next $250 million |
0.6300 | % | ||
| Next $500 million |
0.6000 | % | ||
| Next $1.5 billion |
0.5700 | % | ||
| Next $2.5 billion |
0.5500 | % | ||
| Next $5 billion |
0.5300 | % | ||
| Next $2 billion |
0.4500 | % | ||
| Amount Over $12 billion |
0.3900 | % | ||
| The Hartford Capital Appreciation Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.8000 | % | ||
| Next $500 million |
0.7000 | % | ||
| Next $4 billion |
0.6500 | % | ||
| Next $5 billion |
0.6475 | % | ||
| Amount Over $10 billion |
0.6450 | % | ||
| The Hartford Checks and Balances Fund | ||
| Average Daily Net Assets | Annual Rate | |
| None |
| # | Affiliated Funds include any mutual fund or exchange-traded fund for which Hartford Funds Management Company, LLC or its affiliates serve as investment manager. |
5
| Hartford Climate Opportunities Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.6200 | % | ||
| Next $500 million |
0.6000 | % | ||
| Next $1.5 billion |
0.5800 | % | ||
| Next $2.5 billion |
0.5750 | % | ||
| Amount Over $5 billion |
0.5700 | % | ||
| Hartford Core Equity Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.4500 | % | ||
| Next $500 million |
0.3500 | % | ||
| Next $1.5 billion |
0.3300 | % | ||
| Next $2.5 billion |
0.3250 | % | ||
| Amount Over $5 billion |
0.3225 | % | ||
| The Hartford Dividend and Growth Fund and The Hartford MidCap Value Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.7500 | % | ||
| Next $500 million |
0.6500 | % | ||
| Next $1.5 billion |
0.6000 | % | ||
| Next $2.5 billion |
0.5950 | % | ||
| Next $5 billion |
0.5900 | % | ||
| Amount Over $10 billion |
0.5850 | % | ||
| Hartford Dynamic Bond Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.5500 | % | ||
| Amount Over $1 billion |
0.5400 | % | ||
| Hartford Emerging Markets Equity Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.9000 | % | ||
| Next $500 million |
0.8500 | % | ||
| Amount Over $1 billion |
0.8000 | % | ||
| The Hartford Emerging Markets Local Debt Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.7500 | % | ||
| Next $500 million |
0.7000 | % | ||
| Amount Over $1 billion |
0.6900 | % | ||
| The Hartford Equity Income Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $250 million |
0.7500 | % | ||
| Next $250 million |
0.7000 | % | ||
| Next $500 million |
0.6500 | % | ||
| Next $1.5 billion |
0.6000 | % | ||
| Next $2.5 billion |
0.5900 | % | ||
| Amount Over $5 billion |
0.5875 | % | ||
6
| The Hartford Floating Rate Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.6500 | % | ||
| Next $2 billion |
0.6000 | % | ||
| Next $2.5 billion |
0.5900 | % | ||
| Next $5 billion |
0.5800 | % | ||
| Amount Over $10 billion |
0.5700 | % | ||
| The Hartford High Yield Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.5000 | % | ||
| Next $4 billion |
0.4500 | % | ||
| Next $5 billion |
0.4400 | % | ||
| Amount Over $10 billion |
0.4350 | % | ||
| The Hartford Inflation Plus Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.3900 | % | ||
| Next $500 million |
0.3800 | % | ||
| Next $1.5 billion |
0.3750 | % | ||
| Next $2.5 billion |
0.3700 | % | ||
| Next $5 billion |
0.3675 | % | ||
| Amount Over $10 billion |
0.3650 | % | ||
| Hartford International Equity Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.4600 | % | ||
| Next $1 billion |
0.4500 | % | ||
| Next $3 billion |
0.4400 | % | ||
| Amount Over $5 billion |
0.4300 | % | ||
| The Hartford International Growth Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $250 million |
0.8000 | % | ||
| Next $250 million |
0.7500 | % | ||
| Next $500 million |
0.7000 | % | ||
| Amount Over $1 billion |
0.6500 | % | ||
| The Hartford International Opportunities Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.7500 | % | ||
| Next $500 million |
0.6500 | % | ||
| Next $1.5 billion |
0.6400 | % | ||
| Next $2.5 billion |
0.6350 | % | ||
| Next $5 billion |
0.6300 | % | ||
| Amount Over $10 billion |
0.6250 | % | ||
| The Hartford International Value Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.8500 | % | ||
| Next $500 million |
0.8000 | % | ||
| Next $4 billion |
0.7500 | % | ||
| Next $5 billion |
0.7475 | % | ||
| Amount Over $10 billion |
0.7450 | % | ||
7
| The Hartford MidCap Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.8500 | % | ||
| Next $500 million |
0.7500 | % | ||
| Next $4 billion |
0.7000 | % | ||
| Next $5 billion |
0.6975 | % | ||
| Amount Over $10 billion |
0.6950 | % | ||
| Hartford Multi-Asset Income Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.5900 | % | ||
| Next $250 million |
0.5500 | % | ||
| Next $250 million |
0.5000 | % | ||
| Next $4 billion |
0.4750 | % | ||
| Next $5 billion |
0.4725 | % | ||
| Amount Over $10 billion |
0.4700 | % | ||
| Hartford Municipal Short Duration Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.3500 | % | ||
| Next $500 million |
0.3000 | % | ||
| Next $1.5 billion |
0.2900 | % | ||
| Next $2.5 billion |
0.2850 | % | ||
| Amount Over $5 billion |
0.2800 | % | ||
| Hartford Real Asset Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.7950 | % | ||
| Next $500 million |
0.7600 | % | ||
| Next $1.5 billion |
0.7300 | % | ||
| Next $2.5 billion |
0.7000 | % | ||
| Amount Over $5 billion |
0.6600 | % | ||
| The Hartford Short Duration Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.4100 | % | ||
| Next $500 million |
0.3700 | % | ||
| Next $1.5 billion |
0.3650 | % | ||
| Next $2.5 billion |
0.3600 | % | ||
| Next $5 billion |
0.3500 | % | ||
| Amount Over $10 billion |
0.3400 | % | ||
| Hartford Small Cap Value Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.7000 | % | ||
| Next $500 million |
0.6500 | % | ||
| Next $2 billion |
0.6000 | % | ||
| Next $2 billion |
0.5900 | % | ||
| Next $5 billion |
0.5800 | % | ||
| Amount Over $10 billion |
0.5700 | % | ||
8
| The Hartford Strategic Income Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.5500 | % | ||
| Next $500 million |
0.5000 | % | ||
| Next $1.5 billion |
0.4750 | % | ||
| Next $2.5 billion |
0.4650 | % | ||
| Next $5 billion |
0.4550 | % | ||
| Amount Over $10 billion |
0.4450 | % | ||
| Hartford Sustainable Municipal Bond Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.3500 | % | ||
| Next $500 million |
0.3000 | % | ||
| Next $1.5 billion |
0.2900 | % | ||
| Next $2.5 billion |
0.2850 | % | ||
| Amount Over $5 billion |
0.2800 | % | ||
| The Hartford Total Return Bond Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.3500 | % | ||
| Next $500 million |
0.3000 | % | ||
| Next $4 billion |
0.2600 | % | ||
| Amount Over $5 billion |
0.2500 | % | ||
| The Hartford World Bond Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $250 million |
0.6800 | % | ||
| Next $250 million |
0.6300 | % | ||
| Next $2 billion |
0.5800 | % | ||
| Next $2.5 billion |
0.5300 | % | ||
| Next $5 billion |
0.4750 | % | ||
| Amount Over $10 billion |
0.4500 | % | ||
| The Hartford Conservative Allocation Fund, The Hartford Growth Allocation Fund and Hartford Moderate Allocation Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.1000 | % | ||
| Next $500 million |
0.0950 | % | ||
| Next $1.5 billion |
0.0900 | % | ||
| Next $2.5 billion |
0.0800 | % | ||
| Next $2.5 billion |
0.0700 | % | ||
| Next $2.5 billion |
0.0600 | % | ||
| Amount Over $10 billion |
0.0500 | % | ||
9
THE HARTFORD MUTUAL FUNDS II, INC.
| The Hartford Growth Opportunities Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $250 million |
0.8000 | % | ||
| Next $4.75 billion |
0.7000 | % | ||
| Next $5 billion |
0.6975 | % | ||
| Amount Over $10 billion |
0.6950 | % | ||
| Hartford Schroders China A Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.9000 | % | ||
| Amount Over $1 billion |
0.8900 | % | ||
| Hartford Schroders Core Fixed Income Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $500 million |
0.3200 | % | ||
| Next $500 million |
0.3000 | % | ||
| Amount Over $1 billion |
0.2800 | % | ||
| Hartford Schroders Diversified Emerging Markets Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.8400 | % | ||
| Amount Over $1 billion |
0.7800 | % | ||
| Hartford Schroders Diversified Growth Fund | ||
| Average Daily Net Assets Excluding Assets Invested in Affiliated Funds# |
Annual Rate | |||
| First $1 billion |
0.5500 | % | ||
| Amount Over $1 billion |
0.5300 | % | ||
| Average Daily Net Assets Invested in Affiliated Funds |
0.0000 | % | ||
| Hartford Schroders Emerging Markets Equity Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
1.0500 | % | ||
| Next $4 billion |
1.0000 | % | ||
| Next $5 billion |
0.9900 | % | ||
| Amount Over $10 billion |
0.9850 | % | ||
| Hartford Schroders Emerging Markets Multi-Sector Bond Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.7000 | % | ||
| Next $4 billion |
0.6500 | % | ||
| Next $5 billion |
0.6400 | % | ||
| Amount Over $10 billion |
0.6350 | % | ||
| # | Affiliated Funds include any mutual fund or exchange-traded fund for which Hartford Funds Management Company, LLC or its affiliates serve as investment manager. |
10
| Hartford Schroders International Contrarian Value Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.6500 | % | ||
| Amount Over $1 billion |
0.6100 | % | ||
| Hartford Schroders International Multi-Cap Value Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.7200 | % | ||
| Next $4 billion |
0.6800 | % | ||
| Next $5 billion |
0.6750 | % | ||
| Amount Over $10 billion |
0.6700 | % | ||
| Hartford Schroders International Stock Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.6700 | % | ||
| Next $4 billion |
0.6500 | % | ||
| Next $5 billion |
0.6450 | % | ||
| Amount Over $10 billion |
0.6400 | % | ||
| Hartford Schroders Sustainable International Core Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.6500 | % | ||
| Amount Over $1 billion |
0.6100 | % | ||
| Hartford Schroders Tax-Aware Bond Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.4500 | % | ||
| Next $4 billion |
0.4300 | % | ||
| Next $5 billion |
0.4250 | % | ||
| Amount Over $10 billion |
0.4200 | % | ||
| Hartford Schroders US MidCap Opportunities Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.7500 | % | ||
| Next $1.5 billion |
0.7000 | % | ||
| Next $2.5 billion |
0.6500 | % | ||
| Next $5.0 billion |
0.6450 | % | ||
| Amount Over $10 billion |
0.6400 | % | ||
| Hartford Schroders US Small Cap Opportunities Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $1 billion |
0.9000 | % | ||
| Next $4 billion |
0.8900 | % | ||
| Next $5 billion |
0.8800 | % | ||
| Amount Over $10 billion |
0.8700 | % | ||
| The Hartford Small Cap Growth Fund | ||
| Average Daily Net Assets | Annual Rate | |||
| First $100 million |
0.9000 | % | ||
| Next $150 million |
0.8000 | % | ||
| Next $250 million |
0.7000 | % | ||
| Next $4.5 billion |
0.6500 | % | ||
| Next $5 billion |
0.6300 | % | ||
| Amount Over $10 billion |
0.6200 | % | ||
11
