RiverSource Fund Distributors, Inc.
Exhibit 24(b)(8.153)
| RiverSource Fund Distributors, Inc. |
|
Date: To: |
March 26, 2009 ING Life Insurance and Annuity Company, ING Institutional Plan Services, LLC, and ING Financial Advisers, LLC (collectively referred to as “Company”) |
|
Re: |
Selling and Services Agreement and Fund Participation Agreement (“Agreement”) |
Dear Sir/Madam:
RiverSource Investments, LLC acquired J. & X. Xxxxxxxx & Co. Incorporated in November 2008. Now the RiverSource Family of Funds includes Xxxxxxxx Funds. Enclosed is an updated Schedule A to Company’s Agreement with RiverSource that includes Xxxxxxxx Funds. Schedule A is effective when RiverSource Service Corporation begins serving as the transfer agent for Xxxxxxxx Funds, expected to be on or about June 12, 2009.
By signing this letter, Company consents to the updated Schedule A referenced above. Company’s placing of an order or acceptance of payments of any kind on or after June 12, 2009 under the Agreement will be deemed consent.
If you have any questions please contact Xxxxx Xxxxxxxxx, associate counsel, at 000-000-0000.
Regards,
|
/s/ Xxxxxxx X. Xxxxxxxx Senior Vice President RiverSource Fund Distributors, Inc. RiverSource Distributors, Inc. Consent |
Consent |
| /s/ Xxxx X. Xxxxxxx | /s/ Xxxxxxxx Xxxxxxxx |
| ING Life Insurance and Annuity Company | ING Institutional Plan Services, LLC |
| Consent | |
/s/ Xxxxx Xxxxxx
ING Financial Advisers, LLC
Enclosure (or attached in the e-mail): Schedule A
| SCHEDULE A | ||||
| Institutional - A, R, Y Shares | ||||
| to RiverSource Funds Dealer Agreement | ||||
| FUND INFORMATION LIST | ||||
| Revised Date: | On or about May 8, 2009 | |||
| Purpose of Revision: | Updated to include Xxxxxxxx Funds | |||
| NASDAQ | ||||
| FUND NAMES | Class Symbol | CUSIP | ||
| RiverSource 120/20 Contrarian Equity Fund | A | RCEAX | 00000X000 | |
| RiverSource 120/20 Contrarian Equity Fund | R5 | RCERX | 00000X000 | |
| RiverSource Absolute Return Currency & Income Fund | A | RARAX | 768914723 | |
| RiverSource Absolute Return Currency & Income Fund | R4 | 768914673 | ||
| RiverSource Absolute Return Currency & Income Fund | R5 | RARRX | 768914533 | |
| RiverSource Balanced Fund | A | INMUX | 00000X000 | |
| RiverSource Balanced Fund | R4 | 00000X000 | ||
| RiverSource California Tax-Exempt Fund | A | ICALX | 768911109 | |
| RiverSource Disciplined Equity Fund | A | AQEAX | 00000X000 | |
| RiverSource Disciplined Equity Fund | R2 | 00000X000 | ||
| RiverSource Disciplined Equity Fund | R3 | RSDEX | 00000X000 | |
| RiverSource Disciplined Equity Fund | R4 | 00000X000 | ||
| RiverSource Disciplined Equity Fund | R5 | RSIPX | 00000X000 | |
| RiverSource Disciplined International Equity Fund | A | RDIAX | 768915860 | |
| RiverSource Disciplined International Equity Fund | R2 | RDIOX | 768915761 | |
| RiverSource Disciplined International Equity Fund | R3 | RDIEX | 768915753 | |
| RiverSource Disciplined International Equity Fund | R4 | 768915837 | ||
| RiverSource Disciplined International Equity Fund | R5 | RDIFX | 768915746 | |
| RiverSource Disciplined Large Cap Growth Fund | A | RDLAX | 00000X000 | |
| RiverSource Disciplined Large Cap Growth Fund | R2 | 00000X000 | ||
| RiverSource Disciplined Large Cap Growth Fund | R3 | 00000X000 | ||
| RiverSource Disciplined Large Cap Growth Fund | R4 | RDLFX | 00000X000 | |
| RiverSource Disciplined Large Cap Growth Fund | R5 | 00000X000 | ||
| RiverSource Disciplined Large Cap Value Fund | A | RLCAX | 00000X000 | |
| RiverSource Disciplined Large Cap Value Fund | R2 | RLCOX | 00000X000 | |
| RiverSource Disciplined Large Cap Value Fund | R3 | RLCTX | 00000X000 | |
| RiverSource Disciplined Large Cap Value Fund | R4 | RLCYX | 00000X000 | |
| RiverSource Disciplined Large Cap Value Fund | R5 | RLCRX | 00000X000 | |
| RiverSource Disciplined Small and Mid Cap Equity Fund | A | RDSAX | 768922866 | |
| RiverSource Disciplined Small And Mid Cap Equity Fund | R4 | 768922833 | ||
| RiverSource Disciplined Small Cap Value Fund | A | RDVAX | 768922601 | |
| RiverSource Disciplined Small Cap Value Fund | R2 | 768922791 | ||
| RiverSource Disciplined Small Cap Value Fund | R3 | 768922783 | ||
| RiverSource Disciplined Small Cap Value Fund | R4 | RSDVX | 768922882 | |
1 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| RiverSource Disciplined Small Cap Value Fund | R5 | 768922775 | |
| RiverSource Diversified Bond Fund | A | INBNX | 768912602 |
| RiverSource Diversified Bond Fund | R2 | 768912685 | |
| RiverSource Diversified Bond Fund | R3 | RSDBX | 768912677 |
| RiverSource Diversified Bond Fund | R4 | 768912875 | |
| RiverSource Diversified Bond Fund | R5 | RSVBX | 768912669 |
| RiverSource Diversified Equity Income Fund | A | INDZX | 00000X000 |
| RiverSource Diversified Equity Income Fund | X0 | XXXXX | 00000X000 |
| XxxxxXxxxxx Diversified Equity Income Fund | R3 | RDERX | 00000X000 |
| RiverSource Diversified Equity Income Fund | R4 | 00000X000 | |
| RiverSource Diversified Equity Income Fund | R5 | RSEDX | 00000X000 |
| RiverSource Dividend Opportunity Fund | A | INUTX | 00000X000 |
| RiverSource Dividend Opportunity Fund | R2 | RSOOX | 00000X000 |
| RiverSource Dividend Opportunity Fund | R3 | RSOTX | 00000X000 |
| RiverSource Dividend Opportunity Fund | R4 | 00000X000 | |
| RiverSource Dividend Xxxxxxxxxxx Xxxx | X0 | XXXXX | 00000X000 |
| RiverSource Emerging Markets Bond Fund | A | REBAX | 768914665 |
| RiverSource Emerging Markets Bond Fund | R4 | 768914624 | |
| RiverSource Equity Value Fund | A | IEVAX | 768917106 |
| RiverSource Equity Value Fund | R2 | 768917742 | |
| RiverSource Equity Value Fund | R3 | RSEVX | 768917734 |
| RiverSource Equity Value Fund | R4 | 768917502 | |
| RiverSource Equity Value Fund | R5 | 768917726 | |
| RiverSource Floating Rate Fund | A | RFRAX | 00000X000 |
| RiverSource Floating Rate Fund | R4 | 00000X000 | |
| RiverSource Floating Rate Fund | R5 | RFRFX | 00000X000 |
| RiverSource Global Bond Fund | A | IGBFX | 768914871 |
| RiverSource Global Bond Fund | R4 | 768914830 | |
| RiverSource Global Technology Fund | A | AXIAX | 768914772 |
| RiverSource Global Technology Fund | R4 | RSGTX | 768914731 |
| RiverSource Growth Fund | A | INIDX | 00000X000 |
| RiverSource Growth Fund | R2 | 00000X000 | |
| RiverSource Xxxxxx Xxxx | X0 | XXXXX | 00000X000 |
| RiverSource Growth Fund | R4 | 00000X000 | |
| RiverSource Growth Fund | R5 | RSWHX 00000X000 | |
| RiverSource High Yield Bond Fund | A | INEAX | 768919102 |
| RiverSource High Yield Bond Fund | R2 | 768919862 | |
2 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| RiverSource High Yield Bond Fund | R3 | 768919854 | |
| RiverSource High Yield Bond Fund | R4 | RSHYX | 768919508 |
| RiverSource High Yield Bond Fund | R5 | 768919847 | |
| RiverSource Income Builder Basic Income Fund | A | RBBAX | 00000X000 |
| RiverSource Income Builder Basic Income Fund | R4 | 00000X000 | |
| RiverSource Income Builder Enhanced Income Fund | A | RSBAX | 00000X000 |
| RiverSource Income Builder Enhanced Income Fund | R4 | 00000X000 | |
| RiverSource Income Builder Moderate Income Fund | A | RSMAX | 00000X000 |
| RiverSource Income Builder Moderate Income Fund | R4 | 00000X000 | |
| RiverSource Income Opportunities Fund | A | AIOAX | 768912867 |
| RiverSource Income Opportunities Fund | R4 | 768912826 | |
| RiverSource Inflation Protected Securities Fund | A | APSAX | 00000X000 |
| RiverSource Inflation Protected Securities Fund | R4 | 00000X000 | |
| RiverSource Intermediate Tax-Exempt Fund | A | INFAX | 00000X000 |
| RiverSource Large Cap Equity Fund | A | ALEAX | 00000X000 |
| RiverSource Large Cap Equity Fund | R2 | 00000X000 | |
| RiverSource Large Cap Equity Fund | R3 | 00000X000 | |
| RiverSource Large Cap Equity Fund | R4 | 00000X000 | |
| RiverSource Large Cap Equity Fund | R5 | 00000X000 | |
| RiverSource Large Cap Value Fund | A | ALVAX | 00000X000 |
| RiverSource Large Cap Value Fund | R2 | 00000X000 | |
| RiverSource Large Cap Value Fund | R3 | 00000X000 | |
| RiverSource Large Cap Value Fund | R4 | RSLVX | 00000X000 |
| RiverSource Large Cap Value Fund | R5 | 00000X000 | |
| RiverSource Limited Duration Bond Fund | A | ALDAX | 768912818 |
| RiverSource Limited Duration Bond Fund | R4 | 768912768 | |
| RiverSource Mid Cap Growth Fund | A | INVPX | 00000X000 |
| RiverSource Mid Cap Growth Fund | R4 | 00000X000 | |
| RiverSource Mid Cap Value Fund | A | AMVAX | 00000X000 |
| RiverSource Mid Cap Value Fund | R2 | RMVTX | 00000X000 |
| RiverSource Mid Cap Value Fund | R3 | RMCRX | 00000X000 |
| RiverSource Mid Cap Value Fund | R4 | 00000X000 | |
| RiverSource Mid Cap Value Fund | R5 | RSCMX | 00000X000 |
| RiverSource Minnesota Tax-Exempt Fund | A | IMNTX | 768918500 |
| RiverSource New York Tax-Exempt Fund | A | INYKX | 768918880 |
| RiverSource Partners Aggressive Growth Fund | A | ASGFX | 00000X000 |
| RiverSource Partners Aggressive Growth Fund | R2 | 00000X000 | |
3 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| RiverSource Partners Aggressive Growth Fund | R3 | 00000X000 | |
| RiverSource Partners Aggressive Xxxxxx Xxxx | X0 | XXXXX | 00000X000 |
| RiverSource Partners Aggressive Growth Fund | R5 | 00000X000 | |
| RiverSource Partners Fundamental Value Fund | A | AFVAX | 00000X000 |
| RiverSource Partners Fundamental Value Fund | R4 | 00000X000 | |
| RiverSource Partners International Select Growth Fund | A | AXGAX | 768920100 |
| RiverSource Partners International Select Growth Fund | R4 | 768920506 | |
| RiverSource Partners International Select Value Fund | A | APIAX | 768920860 |
| RiverSource Partners International Select Value Fund | R4 | 768920829 | |
| RiverSource Partners International Small Cap Fund | A | AISCX | 768920811 |
| RiverSource Partners International Small Cap Fund | R4 | 768920761 | |
| RiverSource Partners Select Value Fund | A | AXVAX | 00000X000 |
| RiverSource Partners Select Value Fund | R4 | 00000X000 | |
| RiverSource Partners Small Cap Equity Fund | A | AXSAX | 00000X000 |
| RiverSource Parnters Small Cap Equity Fund | R4 | 00000X000 | |
| RiverSource Partners Small Cap Growth Fund | A | AXSCX | 768917817 |
| RiverSource Partners Small Cap Growth Fund | R2 | 768917676 | |
| RiverSource Partners Small Cap Growth Fund | R3 | 768917668 | |
| RiverSource Partners Xxxxx Xxx Xxxxxx Xxxx | X0 | XXXXX | 768917767 |
| RiverSource Partners Small Cap Growth Fund | R5 | 768917650 | |
| RiverSource Partners Small Cap Value Fund | A | ASVAX | 00000X000 |
| RiverSource Partners Small Cap Value Fund | R2 | RSVTX | 00000X000 |
| RiverSource Partners Small Cap Value Fund | R3 | RSVRX | 00000X000 |
| RiverSource Partners Small Cap Value Fund | R4 | RSGLX | 00000X000 |
| RiverSource Partners Small Cap Value Fund | R5 | RSCVX | 00000X000 |
| RiverSource Portfolio Builder Aggressive Fund | A | AXBAX | 00000X000 |
| RiverSource Portfolio Builder Aggressive Fund | R4 | 00000X000 | |
| RiverSource Portfolio Builder Conservative Fund | A | ABDAX | 00000X000 |
| RiverSource Portfolio Builder Conservative Fund | R4 | 00000X000 | |
| RiverSource Portfolio Builder Moderate Aggressive Fund | A | AXMAX | 00000X000 |
| RiverSource Portfolio Builder Moderate Aggressive Fund | R4 | 00000X000 | |
| RiverSource Portfolio Builder Moderate Conservative Fund | A | AUCAX | 00000X000 |
| RiverSource Portfolio Builder Moderate Conservative Fund | R4 | 00000X000 | |
| RiverSource Portfolio Builder Moderate Fund | A | ABUAX | 00000X000 |
| RiverSource Portfolio Builder Moderate Fund | R4 | 00000X000 | |
| RiverSource Portfolio Builder Total Equity Fund | A | AXTAX | 00000X000 |
| RiverSource Portfolio Builder Total Equity Fund | R4 | 00000X000 | |
4 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| RiverSource Precious Metals and Mining Fund | A | INPMX | 768923104 |
| RiverSource Precious Metals and Mining Fund | R4 | 768923500 | |
| RiverSource Real Estate Fund | A | ARLAX | 00000X000 |
| RiverSource Real Estate Fund | R4 | 00000X000 | |
| RiverSource Recovery and Infrastructure Fund | A | RRIAX | 00000X000 |
| RiverSource Recovery and Infrastructure Fund | R2 | RRIRX | 00000X000 |
| RiverSource Recovery and Infrastructure Fund | R3 | RRISX | 00000X000 |
| RiverSource Recovery and Infrastructure Fund | R4 | RRIYX | 00000X000 |
| RiverSource Recovery and Infrastructure Fund | R5 | RRIZX | 00000X000 |
| RiverSource Retirement Plus 2010 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2010 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2010 Fund | R3 | RSRPX | 00000X000 |
| RiverSource Retirement Plus 2010 Fund | R4 | RSERX | 00000X000 |
| RiverSource Retirement Plus 2010 Fund | R5 | RSPRX | 00000X000 |
| RiverSource Retirement Plus 2010 Fund | Y | 00000X000 | |
| RiverSource Retirement Plus 2015 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2015 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2015 Fund | R3 | RSRTX | 00000X000 |
| RiverSource Retirement Plus 2015 Fund | R4 | RSEMX | 00000X000 |
| RiverSource Retirement Plus 2015 Fund | R5 | RSCUX | 00000X000 |
| RiverSource Retirement Plus 2015 Fund | Y | 00000X000 | |
| RiverSource Retirement Plus 2020 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2020 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2020 Fund | R3 | RSEPX | 00000X000 |
| RiverSource Retirement Plus 2020 Fund | R4 | RSMTX | 00000X000 |
| RiverSource Retirement Plus 2020 Fund | R5 | RSUCX | 00000X000 |
| RiverSource Retirement Plus 2020 Fund | Y | 00000X000 | |
| RiverSource Retirement Plus 2025 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2025 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2025 Fund | R3 | RSMPX | 00000X000 |
| RiverSource Retirement Plus 2025 Fund | R4 | RSPLX | 00000X000 |
| RiverSource Retirement Plus 2025 Fund | R5 | RSURX | 00000X000 |
| RiverSource Retirement Plus 2025 Fund | Y | 00000X000 | |
| RiverSource Retirement Plus 2030 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2030 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2030 Fund | R3 | RSRNX | 00000X000 |
| RiverSource Retirement Plus 2030 Fund | R4 | RSELX | 00000X000 |
5 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| RiverSource Retirement Plus 2030 Fund | R5 | RSEEX | 00000X000 |
| RiverSource Retirement Plus 2030 Fund | Y | 00000X000 | |
| RiverSource Retirement Plus 2035 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2035 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2035 Fund | R3 | RSRRX | 00000X000 |
| RiverSource Retirement Plus 2035 Fund | R4 | RSMNX | 00000X000 |
| RiverSource Retirement Plus 2035 Fund | R5 | RSUSX | 00000X000 |
| RiverSource Retirement Plus 2035 Fund | Y | 00000X000 | |
| RiverSource Retirement Plus 2040 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2040 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2040 Fund | R3 | RSRCX | 00000X000 |
| RiverSource Retirement Plus 2040 Fund | R4 | RSMMX | 00000X000 |
| RiverSource Retirement Plus 2040 Fund | R5 | RSPUX | 00000X000 |
| RiverSource Retirement Plus 2040 Fund | Y | 00000X000 | |
| RiverSource Retirement Plus 2045 Fund | A | 00000X000 | |
| RiverSource Retirement Plus 2045 Fund | R2 | 00000X000 | |
| RiverSource Retirement Plus 2045 Fund | R3 | RSRUX | 00000X000 |
| RiverSource Retirement Plus 2045 Fund | R4 | RSNNX | 00000X000 |
| RiverSource Retirement Plus 2045 Fund | R5 | RSUPX | 00000X000 |
| RiverSource Retirement Plus 2045 Fund | Y | 00000X000 | |
| RiverSource Short Duration U.S. Government Fund | A | IFINX | 00000X000 |
| RiverSource Short Duration U.S. Government Bond Fund | R4 | 00000X000 | |
| RiverSource Small Cap Advantage Fund | A | ASAAX | 768917601 |
| RiverSource Small Cap Advantage Fund | R2 | 768917718 | |
| RiverSource Small Cap Advantage Fund | R3 | 768917692 | |
| RiverSource Small Cap Advantage Fund | R4 | RSNMX | 768917874 |
| RiverSource Small Cap Advantage Fund | R5 | 768917684 | |
| RiverSource Small Company Index Fund | A | ISIAX | 00000X000 |
| RiverSource Small Company Index Fund | R4 | 00000X000 | |
| RiverSource Strategic Allocation Fund | A | IMRFX | 00000X000 |
| RiverSource Strategic Allocation Fund | R2 | 00000X000 | |
| RiverSource Strategic Allocation Fund | R3 | 00000X000 | |
| RiverSource Strategic Allocation Fund | R4 | 00000X000 | |
| RiverSource Strategic Allocation Fund | R5 | RSALX | 00000X000 |
| RiverSource Strategic Income Allocation Fund | A | RSGAX | 00000X000 |
| RiverSource Strategic Income Allocation Fund | R2 | RSDOX | 00000X000 |
| RiverSource Strategic Income Allocation Fund | R3 | RSARX | 00000X000 |
6 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| RiverSource Strategic Income Allocation Fund | R4 | RSTRX | 00000X000 |
| RiverSource Strategic Income Allocation Fund | R5 | RSFRX | 00000X000 |
| RiverSource Tax-Exempt Bond Fund | A | INTAX | 00000X000 |
| RiverSource Tax-Exempt High Income Fund | A | INHYX | 768919607 |
| RiverSource U.S. Government Mortgage Fund | A | AUGAX | 00000X000 |
| RiverSource U.S. Government Mortgage Fund | R4 | 00000X000 | |
| Xxxxxxxx Asset Allocation Aggressive Growth Fund | A | STHAX | 816352108 |
| Xxxxxxxx Asset Allocation Balanced Fund | A | SATVX | 816352850 |
| Xxxxxxxx Asset Allocation Growth Fund | A | SATWX | 816352504 |
| Xxxxxxxx Asset Allocation Moderate Growth Fund | A | SANAX | 816352819 |
| Xxxxxxxx Capital Fund | A | SCFIX | 816326102 |
| Xxxxxxxx Capital Fund | R2 | SCFRX | 816326607 |
| Xxxxxxxx Capital Fund | R5 | SCLIX | 816326508 |
| Xxxxxxxx Common Stock Fund | A | SCSFX | 816332100 |
| Xxxxxxxx Common Stock Fund | R2 | SCSRX | 816332605 |
| Xxxxxxxx Common Stock Fund | R5 | SCSIX | 816332506 |
| Xxxxxxxx Communications & Information Fund | A | SLMCX | 816333108 |
| Xxxxxxxx Communications & Information Fund | R2 | SCIRX | 816333603 |
| Xxxxxxxx Communications & Information Fund | R5 | SCMIX | 816333504 |
| Xxxxxxxx Core Fixed Income Fund | A | SIVAX | 00000X000 |
| Xxxxxxxx Core Fixed Income Fund | R2 | SIVRX | 00000X000 |
| Xxxxxxxx Core Fixed Income Fund | R5 | SIVIX | 00000X000 |
| Xxxxxxxx Emerging Markets Fund | A | SHEMX | 00000X000 |
| Xxxxxxxx Emerging Markets Fund | R2 | SERRX | 00000X000 |
| Xxxxxxxx Emerging Markets Fund | R5 | SERIX | 00000X000 |
| Xxxxxxxx Frontier Fund | A | SLFRX | 816334106 |
| Xxxxxxxx Xxxxxxxx Xxxx | X0 | XXXXX | 816334601 |
| Xxxxxxxx Frontier Fund | R5 | SFFIX | 816334502 |
| Xxxxxxxx Global Growth Fund | A | SHGOX | 00000X000 |
| Xxxxxxxx Global Growth Fund | R2 | SGGRX | 00000X000 |
| Xxxxxxxx Global Growth Fund | R5 | SGLIX | 00000X000 |
| Xxxxxxxx Global Smaller Companies Fund | A | SHGAX | 00000X000 |
| Xxxxxxxx Global Smaller Companies Fund | R2 | SGSRX | 00000X000 |
| Xxxxxxxx Global Smaller Companies Fund | R5 | SGSIX | 00000X000 |
| Xxxxxxxx Global Technology Fund | A | SHGTX | 00000X000 |
| Xxxxxxxx Global Technology Fund | R2 | SGTRX | 00000X000 |
| Xxxxxxxx Growth Fund | A | SGRFX | 816335103 |
7 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| Xxxxxxxx Growth Fund | R2 | SGFRX | 816335608 |
| Xxxxxxxx Growth Fund | R5 | SGFIX | 816335509 |
| Xxxxxxxx High-Yield Fund | A | SHYBX | 816336309 |
| Xxxxxxxx High-Yield Fund | R2 | SHYRX | 816336861 |
| Xxxxxxxx High-Yield Fund | R5 | SHIIX | 816336879 |
| Xxxxxxxx Income & Growth Fund | A | SINFX | 816338107 |
| Xxxxxxxx Income & Xxxxxx Xxxx | X0 | XXXXX | 816338503 |
| Xxxxxxxx Income & Growth Fund | R5 | SINIX | 816338602 |
| Xxxxxxxx International Growth Fund | A | SHIFX | 00000X000 |
| Xxxxxxxx International Growth Fund | R2 | SIGRX | 00000X000 |
| Xxxxxxxx International Growth Fund | R5 | SIGIX | 00000X000 |
| Xxxxxxxx Large-Cap Value Fund | A | SLVAX | 816356109 |
| Xxxxxxxx Large-Cap Value Fund | R2 | SLVRX | 816356851 |
| Xxxxxxxx Large-Cap Value Fund | R5 | SLVIX | 816356877 |
| Xxxxxxxx LaSalle Global Real Estate Fund | A | SLDAX | 00000X000 |
| Xxxxxxxx LaSalle Global Real Estate Fund | R2 | SLDRX | 00000X000 |
| Xxxxxxxx LaSalle Global Real Estate Fund | R5 | SLDIX | 00000X000 |
| Xxxxxxxx LaSalle Monthly Dividend Real Estate Fund | A | SREAX | 00000X000 |
| Xxxxxxxx LaSalle Monthly Dividend Real Estate Fund | R2 | SRERX | 00000X000 |
| Xxxxxxxx LaSalle Monthly Dividend Real Estate Fund | R5 | SREIX | 00000X000 |
| Xxxxxxxx Municipal Fund Series, Inc.: | |||
| California High-Yield | A | SCHYX | 816351308 |
| California Quality | A | SCTQX | 816351209 |
| Colorado | A | SCOEX | 816346886 |
| Florida | A | SFLEX | 816351506 |
| Georgia | A | SXGAX | 816346829 |
| Louisiana | A | SLOTX | 816346704 |
| Maryland | A | STXMX | 816346803 |
| Massachusetts | A | SMATX | 816346209 |
| Michigan | A | STEMX | 816346605 |
| Minnesota | A | SMNNX | 816346308 |
| Missouri | A | SXFMX | 816346878 |
| National | A | SNXEX | 816346100 |
| New York | A | SNYTX | 816346407 |
| New Jersey | A | SNJTX | 816340103 |
| Pennsylvania | A | SPTEX | 816342109 |
| North Carolina | A | SNCTX | 816351407 |
8 of 10
| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| Ohio | A | SOTEX | 816346506 |
| Oregon | A | SLORX | 816346860 |
| South Carolina | A | SXSCX | 816346811 |
| Xxxxxxxx Smaller-Cap Value Fund | A | SSCVX | 816356406 |
| Xxxxxxxx Smaller-Cap Value Fund | R2 | SSVRX | 816356844 |
| Xxxxxxxx Smaller-Cap Value Fund | R5 | SSVIX | 816356869 |
| Xxxxxxxx TargETFund 2015 | A | STJAX | 00000X000 |
| Xxxxxxxx TargETFund 2015 | R2 | STJRX | 00000X000 |
| Xxxxxxxx TargETFund 2015 | R5 | STJIX | 00000X000 |
| Xxxxxxxx TargETFund 2025 | A | STKAX | 00000X000 |
| Xxxxxxxx TargETFund 2025 | X0 | XXXXX | 00000X000 |
| Xxxxxxxx TargETFund 2025 | R5 | STKIX | 00000X000 |
| Xxxxxxxx TargETFund 2035 | A | XXXXX | 00000X000 |
| Xxxxxxxx XxxxXXXxxx 2035 | R2 | STZRX | 00000X000 |
| Xxxxxxxx TargETFund 2035 | R5 | STZIX | 00000X000 |
| Xxxxxxxx TargETFund 2045 | A | STQAX | 00000X000 |
| Xxxxxxxx TargETFund 2045 | R2 | STQRX | 00000X000 |
| Xxxxxxxx TargETFund 2045 | R5 | STQIX | 00000X000 |
| Xxxxxxxx TargETFund Core | A | SHVAX | 00000X000 |
| Xxxxxxxx TargETFund Core | R2 | SHVRX | 00000X000 |
| Xxxxxxxx TargETFund Core | R5 | SHVIX | 00000X000 |
| Xxxxxxxx U.S. Government Securities Fund | A | SUSGX | 816336101 |
| Xxxxxxxx U.S. Government Securities Fund | R2 | SGVRX | 816336853 |
| Threadneedle Emerging Markets Fund | A | IDEAX | 768914103 |
| Threadneedle Emerging Markets Fund | R4 | 768914509 | |
| Threadneedle Emerging Markets Fund | R5 | REMFX | 768914343 |
| Threadneedle European Equity Fund | A | AXEAX | 768915100 |
| Threadneedle European Equity Fund | R4 | 768915506 | |
| Threadneedle Global Equity Fund | A | IGLGX | 768914822 |
| Threadneedle Global Equity Fund | R2 | 768914566 | |
| Threadneedle Global Equity Fund | R3 | 768914558 | |
| Threadneedle Global Equity Fund | R4 | 768914780 | |
| Threadneedle Global Equity Fund | R5 | RGERX | 768914541 |
| Threadneedle Global Equity Income Fund | A | RTNAX | 768914525 |
| Threadneedle Global Equity Income Fund | R2 | RGEOX | 768914475 |
| Threadneedle Global Equity Income Fund | R3 | RGETX | 768914467 |
| Threadneedle Global Equity Income Fund | R4 | RGEYX | 768914459 |
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| SCHEDULE A | |||
| Institutional - A, R, Y Shares | |||
| to RiverSource Funds Dealer Agreement | |||
| FUND INFORMATION LIST | |||
| NASDAQ | |||
| FUND NAMES | Class Symbol | CUSIP | |
| Threadneedle Global Equity Income Fund | R5 | RGEFX | 768914442 |
| Threadneedle Global Extended Alpha Fund | A | RTAAX | 768914434 |
| Threadneedle Global Extended Alpha Fund | R2 | REAOX | 768914384 |
| Threadneedle Global Extended Alpha Fund | R3 | RTNRX | 768914376 |
| Threadneedle Global Extended Alpha Fund | R4 | REYRX | 768914368 |
| Threadneedle Global Extended Alpha Fund | R5 | REAFX | 768914350 |
| Threadneedle International Opportunity Fund | A | INIFX | 768915605 |
| Threadneedle International Opportunity Fund | R2 | 768915795 | |
| Threadneedle International Opportunity Fund | R3 | 768915787 | |
| Threadneedle International Opportunity Fund | R4 | IDIYX | 768915878 |
| Threadneedle International Opportunity Fund | R5 | 768915779 | |
| MONEY MARKET FUNDS | |||
| RiverSource Cash Management Fund | A | IDSXX | 768913105 |
| RiverSource Cash Management Fund | R5 | 768913709 | |
| RiverSource Cash Management Fund | Y | IDYXX | 768913402 |
| RiverSource Tax-Exempt Money Market | A | ITFXX | 00000X000 |
| Xxxxxxxx Cash Management Fund | A | SCMXX | 816329106 |
| Xxxxxxxx Cash Management Fund | R2 | SMRXX | 816329700 |
| Xxxxxxxx Cash Management Fund | R5 | SMIXX | 816329601 |
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