Amendment to the Selling and Services Agreement and Fund Participation Agreement Among ING Life and Annuity Company, ING Financial Advisors, LLC, NYLIFE Distributors LLC, and NYLIM Service Company LLC
Exhibit 24(b)(8.111)
Amendment to the Selling and Services Agreement and
Fund Participation Agreement
Among
ING Life and Annuity Company, ING Financial Advisors, LLC,
NYLIFE Distributors LLC, and NYLIM Service Company LLC
This Amendment (the “Amendment”) is dated as of September 30, 2008 by and among
ING Life Insurance and Annuity Company(“ING Life”), ING Financial Advisors, LLC (“ING
Financial”) (collectively “ING”), NYLIFE Distributors LLC (“NYLIFE Distributors”) and
NYLIM Service Company LLC (“NSC”) (“NYLIFE Distributors and NSC are collectively
referred to herein as “Fund Service Provider”), acting as agent for the registered open-end
management investment companies whose shares are or may be underwritten by Fund Service
Provider (each a “Fund” or collectively the “Funds”)
W I T N E S S E T H:
WHEREAS, ING and the Fund Service Provider, or their predecessors, are parties to that
certain Selling and Services Agreement and Fund Participation Agreement, which was effective
as of November 8, 2007, and any amendments thereto (the “Agreement”); and
WHEREAS, ING and the Fund Service Provider wish to revise the Sub-transfer agency
fees attached to the Agreement (hereinafter referred to as “Schedule C”);
NOW, THEREFORE, in consideration of the premises and mutual covenants herein
contained, and intending to be legally bound hereby, the parties hereto agree as follows:
| 1. | Schedule C of the Agreement is hereby deleted in its entirety and replaced with the attached. |
Except as provided herein, the terms and conditions contained in the Agreement shall
remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be
executed by their duly authorized officers effective as of the date first above written.
| ING Life Insurance and Annuity Company | ING Financial Advisors, LLC | |||
| By: /s/ Xxxx X. Xxxxxxx | By: | /s/ Xxxxx X. Xxxxxx | ||
| Name: Xxxx X. Xxxxxxx | Name: Xxxxx X. Xxxxxx | |||
| Title: Vice President | Title: | V.P. Operations | ||
| NYLIM Service Company LLC | NYLIFE Distributors LLC | |||
| By: | /s/ Xxxxxx X. Xxxxx | By: | /s/ Xxxx Xxxxxx | |
| Name: Xxxxxx X. Xxxxx | Name: Xxxx Xxxxxx | |||
| Title: President | Title: Managing Director | |||
Schedule C
MainStay Funds Investor Class Shares
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net assets
held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay All Cap Growth Fund | 00000X000 | MAWNX |
| MainStay Balanced Fund | 00000X000 | MBINX |
| MainStay Cap Appreciation Fund | 00000X000 | MCPPX |
| MainStay International Equity Fund | 00000X000 | MINNX |
| MainStay Small Cap Opportunity Fund | 00000X000 | MOINX |
| MainStay High Yield Corp. Bond Fund | 00000X000 | MHHIX |
| MainStay Value Fund | 00000X000 | MVINX |
| MainStay Large Cap Growth Fund | 00000X000 | MLINX |
| MainStay Map Fund | 00000X000 | MSMIX |
| MainStay Mid Cap Growth Fund | 00000X000 | MMYMX |
| MainStay Mid Cap Opportunity Fund | 00000X000 | MMOUX |
| MainStay Mid Cap Value Fund | 00000X000 | MMIIX |
| MainStay Small Cap Growth Fund | 00000X000 | MSSNX |
| MainStay Small Cap Value Fund | 00000X000 | MYSCX |
| MainStay ICAP International Fund | 448926725 | ICANX |
| MainStay ICAP Select Equity Fund | 00000X000 | MGXNX |
| MainStay ICAP Equity Fund | 00000X000 | MMRDX |
| MainStay 130/30 Core Fund | 00000X000 | MYCNX |
| MainStay 130/30 Growth Fund | 00000X000 | MAWNX |
| MainStay ICAP Global | 448926733 | ICGNX |
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net assets
held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Floating Rate Fund | 00000X000 | MXFNX |
| MainStay Diversified Inc Fund | 00000X000 | MSYDX |
| MainStay Government Fund | 00000X000 | MGVNX |
| MainStay Tax Free Bond Fund | 00000X000 | MKINX |
| MainStay Convertible Fund | 00000X000 | MCINX |
| MainStay Total Return Fund | 00000X000 | MTINX |
| MainStay Global High Inc Fund | 00000X000 | MGHHX |
| MainStay Common Stock Fund | 00000X000 | MCSSX |
| MainStay S&P 500 Index Fund | 00000X000 | MYSPX |
| MainStay Indexed Bond Fund | 00000X000 | MIXNX |
| MainStay Intermediate Bond Fund | 00000X000 | MTMNX |
| MainStay Short Term Bond Fund | 00000X000 | MYTBX |
| MainStay Inc Manager Fund | 00000X000 | MIMNX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRDX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRYX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTFX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRUX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRVX |
Schedule C
| MainStay Growth Allocation Fund | 00000X000 | MGXNX |
| MainStay Moderate Allocation Fund | 00000X000 | MMRDX |
| MainStay Moderate Growth Allocation Fund | 00000X000 | MGDNX |
| MainStay Conservative Allocation Fund | 00000X000 | MCKNX |
MainStay Funds Class A Shares
(For those existing Plans whose Fund Schedules included Class A Shares prior to September 30, 2008.)
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net assets
held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay All Cap Growth Fund | 278846522 | MAAAX |
| MainStay Balanced Fund | 278846431 | MBNAX |
| MainStay Capital Appreciation Fund | 00000X000 | MCSAX |
| MainStay International Equity Fund | 00000X000 | MSEAX |
| MainStay Small Cap Opportunity Fund | 278846258 | MOPAX |
| MainStay High Yield Corporate Bond Fund | 00000X000 | MHCAX |
| MainStay Value Fund | 00000X000 | MVAAX |
| MainStay Large Cap Growth Fund | 00000X000 | MLAAX |
| MainStay MAP Fund | 00000X000 | MAPAX |
| MainStay Mid Cap Growth | 00000X000 | MMCPX |
| MainStay Mid Cap Opportunity Fund | 278846290 | MMOAX |
| MainStay Mid Cap Value Fund | 00000X000 | MYIAX |
| MainStay Small Cap Growth Fund | 00000X000 | MSMAX |
| MainStay Small Cap Value Fund | 00000X000 | MSPAX |
| MainStay ICAP International Fund | 448926501 | ICEVX |
| MainStay ICAP Select Equity | 448926873 | ICSRX |
| MainStay ICAP Equity Fund | 448926824 | ICAUX |
| MainStay 130/30 Core Fund | 00000X000 | MYCTX |
| MainStay 130/30 Growth Fund | 00000X000 | MYGAX |
| MainStay ICAP Global | 448926766 | ICGLX |
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net assets
held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Floating Rate Fund | 00000X000 | MXFAX |
| MainStay Diversified Income Fund | 00000X000 | MASAX |
| MainStay Government Fund | 00000X000 | MGVAX |
| MainStay Tax Free Bond Fund | 00000X000 | MTBAX |
| MainStay Convertible Fund | 00000X000 | MCOAX |
| MainStay Total Return Fund | 00000X000 | MTRAX |
| MainStay Global High Income Fund | 00000X000 | MGHAX |
| MainStay Common Stock Fund | 00000X000 | MSOAX |
| MainStay S&P 500 Index Fund | 278846274 | MSXAX |
| MainStay Indexed Bond Fund | 278846381 | MIXAX |
| MainStay Intermediate Term Bond Fund | 278846373 | MTMAX |
| MainStay Short Term Bond Fund | 278846266 | MSTAX |
| MainStay Income Manager Fund | 278846456 | MATAX |
Schedule C
| MainStay Retirement 2010 Fund | 00000X000 | MYRAX |
| MainStay Retirement 2020 Fund | 00000X000 | MYROX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTTX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRTX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRLX |
| MainStay Growth Allocation | 00000X000 | MGXAX |
| MainStay Moderate Allocation | 278846183 | MMRAX |
| MainStay Moderate Growth Allocation | 278846142 | MGDAX |
| MainStay Conservative Allocation | 278846233 | MCKAX |
MainStay Funds Class I Shares
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net assets
held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay All Cap Growth Fund | 278846886 | MATIX |
| MainStay Balanced Fund | 278846209 | MBAIX |
| MainStay Capital Appreciation Fund | 00000X000 | MCPIX |
| MainStay International Equity Fund | 00000X000 | MSIIX |
| MainStay Small Cap Opportunity Fund | 278846100 | MOPIX |
| MainStay High Yield Corporate Bond Fund | 00000X000 | MHYIX |
| MainStay Value Fund | 00000X000 | MVAIX |
| MainStay Large Cap Growth Fund | 00000X000 | MLAIX |
| MainStay MAP Fund | 00000X000 | MUBFX |
| MainStay Mid Cap Growth | 00000X000 | MMGOX |
| MainStay Mid Cap Opportunity Fund | 278846407 | MMOIX |
| MainStay Mid Cap Value Fund | 00000X000 | MMVIX |
| MainStay Small Cap Value Fund | 00000X000 | MSVVX |
| MainStay ICAP International Fund | 448926402 | ICEUX |
| MainStay ICAP Select Equity Fund | 448926303 | ICSLX |
| MainStay ICAP Equity Fund | 448926204 | ICAEX |
| MainStay 130/30 Core Fund | 00000X000 | MYCIX |
| MainStay 130/30 Growth Fund | 00000X000 | MYGIX |
| MainStay ICAP Global | 448926741 | ICGRX |
ING’s compensation shall be an annual sub-transfer agency fee of ___% of the average daily net assets
held in the account, calculated and payable quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Floating Rate Fund | 00000X000 | MXFIX |
| MainStay Diversified Income Fund | 00000X000 | MSDIX |
| MainStay Government Fund | 00000X000 | MGOIX |
| MainStay Total Return Fund | 00000X000 | MTOIX |
| MainStay Common Stock Fund | 00000X000 | MSOIX |
| MainStay S&P 500 Index Fund | 278846860 | MSPIX |
| MainStay Indexed Bond Fund | 278846779 | MIXIX |
| MainStay Intermediate Term Bond Fund | 278846795 | MTMIX |
| MainStay Short Term Bond Fund | 278846712 | MSTIX |
| MainStay Income Manager Fund | 278846506 | MASIX |
Schedule C
| MainStay Retirement 2010 Fund | 00000X000 | MYRIX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRTX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTIX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRYX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRMX |
| MainStay Institutional Bond Fund | 00000X000 | MYBIX |
| MainStay Growth Allocation | 00000X000 | MGXIX |
| MainStay Moderate Allocation | 278846159 | MMRIX |
| MainStay Moderate Growth Allocation | 278846118 | MGDIX |
| MainStay Conservative Allocation | 278846191 | MCKIX |
MainStay Funds Class R1 Shares
ING’s compensation shall be a combination of an annual shareholder service fee of ___% and a sub-
transfer agency fee of ___% of the average daily net assets held in the account, calculated and payable
quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Balanced Fund | 278846415 | MBNRX |
| MainStay MAP Fund | 00000X000 | MAPRX |
| MainStay Mid Cap Value Fund | 00000X000 | MMIRX |
| MainStay Value Fund | 00000X000 | MVARX |
| MainStay International Equity | 00000X000 | MIERX |
| MainStay Large Cap Growth Fund | 00000X000 | MLRRX |
| MainStay ICAP International Fund | 448926709 | ICETX |
| MainStay ICAP Select Equity Fund | 448926857 | ICSWX |
| MainStay ICAP Equity Fund | 448926790 | ICAWX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRRX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRTX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTOX |
| MainStay Retirement 2040 Fund | 00000X000 | MSREX |
| MainStay Retirement 2050 Fund | 00000X000 | MSROX |
MainStay Funds Class R2 Shares
ING’s compensation shall be a combination of an annual shareholder service fee of ___% and a sub-
transfer agency fee of ___% of the average daily net assets held in the account, calculated and payable
quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Balanced Fund | 278846399 | MBCRX |
| MainStay MAP Fund | 00000X000 | MPRRX |
| MainStay Mid Cap Value Fund | 00000X000 | MMRRX |
| MainStay Value Fund | 00000X000 | MVRTX |
| MainStay International Equity | 00000X000 | MIRRX |
| MainStay Large Cap Growth Fund | 00000X000 | MLRTX |
| MainStay ICAP International Fund | 448926808 | ICEYX |
| MainStay ICAP Select Equity Fund | 448926840 | ICSYX |
| MainStay ICAP Equity Fund | 448926782 | ICAYX |
| MainStay Retirement 2010 Fund | 00000X000 | MYRWX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRVX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTUX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRQX |
| Schedule C | |||
| MainStay Retirement 2050 Fund | 00000X000 | MSRPX | |
| MainStay High Yield Corporate Bond Fund | 00000X000 | MHYRX | |
| MainStay Mid Cap Growth Fund | 00000X000 | MMCTX | |
| MainStay Common Stock Fund | 00000X000 | MSORX | |
MainStay Funds Class R3 Shares
ING’s compensation shall be a combination of an annual shareholder service fee of ___% and a sub-
transfer agency fee of ___% of the average daily net assets held in the account, calculated and payable
quarterly for the funds listed below:
| Fund Name | CUSIP | TICKER |
| MainStay Balanced Fund | 00000X000 | MBDRX |
| MainStay MAP Fund | 00000X000 | MMAPX |
| MainStay Mid Cap Growth | 00000X000 | MMGRX |
| MainStay Mid Cap Opportunity | 00000X000 | MMORX |
| MainStay International Equity | 00000X000 | MIFRX |
| MainStay Large Cap Growth Fund | 00000X000 | MLGRX |
| MainStay ICAP International Fund | 448926881 | ICEZX |
| MainStay ICAP Select Equity Fund | 448926832 | ICSZX |
| MainStay ICAP Equity Fund | 448926774 | ICAZX |
| MainStay Retirement 2010 Fund | 00000X000 | MYREX |
| MainStay Retirement 2020 Fund | 00000X000 | MYRZX |
| MainStay Retirement 2030 Fund | 00000X000 | MRTVX |
| MainStay Retirement 2040 Fund | 00000X000 | MSRZX |
| MainStay Retirement 2050 Fund | 00000X000 | MSRWX |
