SIXTH AMENDMENT TO SELLING AND SERVICES AGREEMENT
Exhibit 24(b)(8.96)
SIXTH AMENDMENT
TO SELLING AND SERVICES AGREEMENT
This Sixth Amendment dated as of May 20 , 2015 (the “Amendment”) by and between Voya Retirement Insurance and Annuity Company , Voya Institutional Plan Services, LLC , Voya Financial Partners, LLC (collectively “Voya”), and one or more of The Lazard Funds, Inc., an open-end series investment company (the "Fund"), Lazard Asset Management Securities LLC, the Fund’s principal underwriter (“Distributor”), and Lazard Asset Management LLC, the investment adviser to each mutual fund comprising the Fund and the parent company of the Distributor (“XXX”) is made to the Selling and Services Agreement dated as of July 1, 1998 (the “Agreement”) as amended on June 18, 2007, March 31, 2008 ,August 16, 2009 and September 22, 2011 and March _, 2015. Terms defined in the Agreement are used herein as therein defined.
WHEREAS, the parties wish to amend Schedule A to the Agreement.
NOW, THEREFORE, in consideration of the foregoing and the mutual promises set forth below, the parties agree as follows:
1. Schedule A to the Agreement shall be deleted in its entirety and replaced with the Schedule A attached hereto.
2. Except as specifically provided herein, all other provisions of the Agreement shall remain in full force and effect.
IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first written above.
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VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY
By: /s/ Xxxx Xxxxxxx Name: Xxxx Xxxxxxx Title: Vice President
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VOYA INSTITUTIONAL PLAN SERVICES, LLC
By: /s/ Xxxx Xxxxxxx Name: Xxxx Xxxxxxx Title: Vice President
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VOYA FINANCIAL PARTNERS, LLC
By: /s/ Xxxx Xxxxxxx Name: Xxxx Xxxxxxx Title: Vice President
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LAZARD ASSET MANAGEMENT SECURITIES LLC By: /s/ Xxxxxxx X. Xxxxxxx Name: Xxxxxxx X. Xxxxxxx Title: President
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LAZARD ASSET MANAGEMENT LLC By: /s/ Xxxxxxx X. Xxxxxxx Name: Xxxxxxx X. Xxxxxxx Title: Deputy Chairman |
A-1
schedule a
|
Portfolio Name |
Class |
Symbol |
CUSIP |
Plan Fee* |
Other Comp+ |
Total |
|
|
|
|
|
|
|
|
|
Lazard Capital Allocator Opportunistic Strategies Portfolio |
Open |
LCAOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Developing Markets Equity Portfolio |
Open |
LDMOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Emerging Markets Core Equity Portfolio |
Open |
ECEOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Emerging Markets Debt Portfolio |
Open |
LEDOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Emerging Markets Equity Blend Portfolio |
Open |
EMBOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Emerging Markets Equity Portfolio** |
Open |
LZOEX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Emerging Markets Income Portfolio |
Open |
XXXXX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Emerging Markets Multi Asset Portfolio |
Open |
EMMOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Enhanced Opportunities Portfolio |
Open |
LEOOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Explorer Total Return Portfolio |
Open |
LETOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Fundamental Long/Short Portfolio |
Open |
LLSOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Global Equity Select Portfolio |
Open |
GESOX |
00000X000 |
.XXX% |
|
X.XX% |
|
Lazard Global Fixed Income Portfolio |
Open |
LZGOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Global Listed Infrastructure Portfolio |
Open |
GLFOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Global Realty Equity Portfolio |
Open |
LITOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Global Strategic Equity Portfolio |
Open |
LSTOX |
52107V 542 |
X.XX% |
|
X.XX% |
|
Lazard International Equity Portfolio |
Open |
LZIOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard International Equity Concentrated Portfolio |
Open |
LCNOX |
52107V 575 |
X.XX% |
|
X.XX% |
|
Lazard International Equity Select Portfolio |
Open |
LZESX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard International Small Cap Equity Portfolio |
Open |
LZSMX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard International Strategic Equity Portfolio |
Open |
LISOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard Master Alternatives Portfolio |
Open |
LALOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Corporate Income Portfolio |
Open |
LZHOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Equity Concentrated Portfolio |
Open |
LEVOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Mid Cap Equity Portfolio |
Open |
LZMOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Realty Equity Portfolio |
Open |
LREOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Realty Income Portfolio |
Open |
LRIOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Short Duration Fixed Income Portfolio |
Open |
UMNOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Small Cap Equity Growth Portfolio |
Open |
GRWOX |
00000X000 |
X.XX% |
|
X.XX% |
|
Lazard US Small-Mid Cap Equity Portfolio |
Open |
LZCOX |
00000X000 |
X.XX% |
|
X.XX% |
A-2
|
Portfolio Name |
Class |
Symbol |
CUSIP |
Plan Fee* |
Other Comp+ |
Total |
|
Lazard US Strategic Equity Portfolio |
Open |
LZUOX |
00000X000 |
X.XX% |
|
X.XX% |
|
|
|
|
|
|
|
|
|
Lazard Capital Allocator Opportunistic Strategies Portfolio |
Institutional |
LCAIX |
00000X000 |
N/A |
|
0 |
|
Lazard Developing Markets Equity Portfolio |
Institutional |
LDMIX |
00000X000 |
N/A |
|
0 |
|
Lazard Emerging Markets Core Equity Portfolio |
Institutional |
ECEIX |
00000X000 |
N/A |
|
0 |
|
Lazard Emerging Markets Debt Portfolio |
Institutional |
LEDIX |
00000X000 |
N/A |
|
0 |
|
Lazard Emerging Markets Equity Blend Portfolio |
Institutional |
EMBIX |
00000X000 |
N/A |
|
0 |
|
Lazard Emerging Markets Equity Portfolio** |
Institutional |
LZEMX |
00000X000 |
N/A |
|
0 |
|
Lazard Emerging Markets Income Portfolio |
Institutional |
LEIIX |
00000X000 |
N/A |
|
0 |
|
Lazard Emerging Markets Multi Asset Portfolio |
Institutional |
EMMIX |
00000X000 |
N/A |
|
0 |
|
Lazard Enhanced Opportunities Portfolio |
Institutional |
LEOIX |
00000X000 |
N/A |
|
0 |
|
Lazard Explorer Total Return Portfolio |
Institutional |
LETIX |
00000X000 |
N/A |
|
0 |
|
Lazard Fundamental Long/Short Portfolio |
Institutional |
LLSIX |
00000X000 |
N/A |
|
0 |
|
Lazard Global Equity Select Portfolio |
Institutional |
GESIX |
00000X000 |
N/A |
|
0 |
|
Lazard Global Fixed Income Portfolio |
Institutional |
LZGIX |
00000X000 |
N/A |
|
0 |
|
Lazard Global Listed Infrastructure Portfolio |
Institutional |
GLIFX |
00000X000 |
N/A |
|
0 |
|
Lazard Global Realty Equity Portfolio |
Institutional |
LITIX |
00000X000 |
N/A |
|
0 |
|
Lazard Global Strategic Equity Portfolio |
Institutional |
LSTIX |
52107V 559 |
N/A |
|
0 |
|
Lazard International Equity Portfolio |
Institutional |
LZIEX |
00000X000 |
N/A |
|
0 |
|
Lazard International Equity Concentrated Portfolio |
Institutional |
LCNIX |
52107V 583 |
N/A |
|
0 |
|
Lazard International Equity Select Portfolio |
Institutional |
LZSIX |
00000X000 |
N/A |
|
0 |
|
Lazard International Small Cap Equity Portfolio |
Institutional |
LZISX |
00000X000 |
N/A |
|
0 |
|
Lazard International Strategic Equity Portfolio |
Institutional |
LISIX |
00000X000 |
N/A |
|
0 |
|
Lazard Master Alternatives Portfolio |
Institutional |
LALTX |
00000X000 |
N/a |
|
0 |
|
Lazard US Corporate Income Portfolio |
Institutional |
LZHYX |
00000X000 |
N/A |
|
0 |
|
Lazard US Equity Concentrated Portfolio |
Institutional |
LEVIX |
00000X000 |
N/A |
|
0 |
|
Lazard US Mid Cap Equity Portfolio |
Institutional |
LZMIX |
00000X000 |
N/A |
|
0 |
|
Lazard US Realty Equity Portfolio |
Institutional |
LREIX |
00000X000 |
N/A |
|
0 |
|
Lazard US Realty Income Portfolio |
Institutional |
LRIIX |
00000X000 |
N/A |
|
0 |
|
Lazard US Short Duration Fixed Income Portfolio |
Institutional |
UMNIX |
00000X000 |
N/A |
|
0 |
|
Lazard US Small Cap Equity Growth Portfolio |
Institutional |
GRWIX |
00000X000 |
N/A |
|
0 |
|
Lazard US Small-Mid Cap Equity Portfolio |
Institutional |
LZSCX |
00000X000 |
N/A |
|
0 |
A-3
|
Portfolio Name |
Class |
Symbol |
CUSIP |
Plan Fee* |
Other Comp+ |
Total |
|
Lazard US Strategic Equity Portfolio |
Institutional |
LZUSX |
00000X000 |
N/A |
|
0 |
|
|
|
|
|
|
|
|
|
Lazard Capital Allocator Opportunistic Strategies Portfolio |
R6 |
RLCPX |
52107V 849 |
N/A |
N/A |
0 |
|
Lazard Developing Markets Equity Portfolio |
R6 |
RLDMX |
52107V 872 |
N/A |
N/A |
0 |
|
Lazard Emerging Markets Core Equity Portfolio |
R6 |
RLEOX |
52107V 732 |
N/A |
N/A |
0 |
|
Lazard Emerging Markets Debt Portfolio |
R6 |
RLEDX |
52107V 815 |
N/A |
N/A |
0 |
|
Lazard Emerging Markets Equity Blend Portfolio |
R6 |
RLEBX |
52107V 831 |
N/A |
N/A |
0 |
|
Lazard Emerging Markets Equity Portfolio** |
R6 |
RLEMX |
52107V 880 |
N/A |
N/A |
0 |
|
Lazard Emerging Markets Income Portfolio |
R6 |
RLEIX |
00000X000 |
N/A |
N/A |
0 |
|
Lazard Emerging Markets Multi Asset Portfolio |
R6 |
RLMSX |
52107V 799 |
N/A |
N/A |
0 |
|
Lazard Enhanced Opportunities Portfolio |
R6 |
RLZEX |
00000X000 |
N/A |
N/A |
0 |
|
Lazard Explorer Total Return Portfolio |
R6 |
RLETX |
52107V 740 |
N/A |
N/A |
0 |
|
Lazard Fundamental Long/Short Portfolio |
R6 |
RFLSX |
00000X000 |
N/A |
N/A |
0 |
|
Xxxxxx Xxxxxx Xxxxxx Xxxxxx Xxxxxxxxx |
X0 |
XXXXX |
00000X000 |
N/A |
N/A |
0 |
|
Lazard Global Fixed Income Portfolio |
R6 |
RLGFX |
52107V 757 |
N/A |
N/A |
0 |
|
Xxxxxx Xxxxxx Xxxxxx Xxxxxxxxxxxxxx Xxxxxxxxx |
X0 |
XXXXX |
52107V 856 |
N/A |
N/A |
0 |
|
Lazard Global Realty Equity Portfolio |
R6 |
RLGRX |
52107V 765 |
N/A |
N/A |
0 |
|
Lazard Global Strategic Equity Portfolio |
R6 |
RGSTX |
52107V 534 |
N/A |
N/A |
0 |
|
Xxxxxx Xxxxxxxxxxxxx Xxxxxx Xxxxxxxxx |
X0 |
XXXXX |
52107V 500 |
N/A |
N/A |
0 |
|
Xxxxxx Xxxxxxxxxxxxx Xxxxxx Xxxxxxxxxxxx Xxxxxxxxx |
X0 |
XXXXX |
52107V 567 |
N/A |
N/A |
0 |
|
Lazard International Equity Select Portfolio |
R6 |
RLIQX |
52107V 609 |
N/A |
N/A |
0 |
|
Lazard International Small Cap Equity Portfolio |
R6 |
RLICX |
52107V 807 |
N/A |
N/A |
0 |
|
Lazard International Strategic Equity Portfolio |
R6 |
RLITX |
52107V 708 |
N/A |
N/A |
0 |
|
Lazard Master Alternatives Portfolio |
R6 |
RMSTX |
00000X000 |
N/A |
N/A |
0 |
|
Lazard US Corporate Income Portfolio |
R6 |
RLCIX |
52107V 864 |
N/A |
N/A |
0 |
|
Lazard US Equity Concentrated Portfolio |
R6 |
RLUEX |
52107V 104 |
N/A |
N/A |
0 |
|
Lazard US Mid Cap Equity Portfolio |
R6 |
RLMCX |
52107V 000 |
X/X |
X/X |
0 |
|
Xxxxxx XX Xxxxxx Xxxxxx Xxxxxxxxx |
X0 |
XXXXX |
52107V 773 |
N/A |
N/A |
0 |
|
Lazard US Realty Income Portfolio |
R6 |
RLRIX |
52107V 781 |
N/A |
N/A |
0 |
|
Lazard US Short Duration Fixed Income Portfolio |
R6 |
RLSDX |
52107V 823 |
N/A |
N/A |
0 |
|
Lazard US Small Cap Equity Xxxxxx Xxxxxxxxx |
X0 |
XXXXX |
00000X000 |
N/A |
N/A |
0 |
|
Lazard US Small-Mid Cap Equity Portfolio |
R6 |
RLSMX |
52107V 401 |
N/A |
N/A |
0 |
A-4
|
Portfolio Name |
Class |
Symbol |
CUSIP |
Plan Fee* |
Other Comp+ |
Total |
|
Lazard US Strategic Equity Portfolio |
R6 |
RLUSX |
52107V 203 |
N/A |
N/A |
0 |
* Fees to be paid to Intermediary from the Plan. Intermediary waives any right to payment of such fees until Distributor is in receipt of fees from the Fund pursuant to the Plan, and Distributor's liability for the payment of such fees is limited solely to the proceeds of fees received from the Fund pursuant to the Plan. The Plan is terminable by the Fund's Board of Directors at any time. It is recognized that certain parties may not be permitted to collect distribution fees under the Plan, and if Intermediary is such a party, it will not accept such fees.
+ Paid by Distributor or the Portfolios' investment adviser out of its own resources.
** The Lazard Emerging Markets Equity Portfolio is generally closed to new investors.
A-5
