Second Amendment to the Selling and Services Agreement and Participation Agreement
Second Amendment to the Selling and Services Agreement and Participation Agreement
This Second Amendment dated as of March 1, 2010 by and between ING Life Insurance and Annuity Company (“ING Life”), ING Institutional Plan Services, LLP (“ING Institutional”), ING Financial Advisers, LLC (“ING Financial”)(collectively “ING”), and Hartford Investment Financial Services, LLC (“Distributor”) is made to the Selling and Services Agreement and Fund Participation Agreement, as amended on April 14, 2009, and dated as of September 2, 2008 (the “Agreement”). Terms defined in the Agreement are used herein as therein defined.
WHEREAS, pursuant to Section 18 of the Agreement, ING and Distributor wish to amend the Agreement as set forth below.
NOW, THEREFORE, in consideration of the promises and mutual covenants hereinafter contained, the parties agree as follows:
Section II of Schedule A to the Agreement is deleted in its entirety and is replaced by the revised Section II of Schedule A attached hereto.
Except as modified hereby, all other terms and conditions of the Agreement shall remain in full force and effect.
This Amendment 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 Amendment.
IN WITNESS WHEREOF, the undersigned have executed this Amendment as of the date first written above.
| [Signatures appear on following page.] |
| ING LIFE INSURANCE AND | HARTFORD INVESTMENT FINANCIAL | ||
| ANNUITY COMPANY | SERVICES, LLC | ||
| By: | /s/ Xxxx X. Xxxxxxx | By: | /s/ Xxxxxx Xxxxx |
| Name: | Xxxx X. Xxxxxxx | Name: | Xxxxxx Xxxxx |
| Title: Vice President | Title: | President | |
| ING FINANCIAL ADVISERS, LLC | ING INSTITUTIONAL PLAN SERVICES, LLC | ||
| By: | /s/ Xxxxx Xxxxxx | By: | /s/ Xxxxxxxx Xxxxxxxxx, Attorney in Fact |
| Name: | Xxxxx Xxxxxx | Name: Xxxxxxxx Xxxxxxxxx, Attorney in Fact | |
| Title: COO/VP | Title: Vice President | ||
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SCHEDULE A
Section II
The following chart shall be used to calculate Fees pursuant to Section I of this Schedule A with respect to each Fund and Share class:
| FUND NAME | SHARE | TOTAL | ADMINISTRAT | 12B-1 FEE | OTHER |
| CLASS | COMPENSATI | IVE SERVICE | (SERVICE | FEE1 | |
| ON | FEE | FEE) | |||
| Hartford Mutual Funds, Inc. | R3 | __ bps | __ bps | __ bps | __ bps |
| Hartford Mutual Funds II, Inc. | |||||
| Hartford Mutual Funds, Inc. | R4 | __ bps | __ bps | __ bps | __ bps |
| Hartford Mutual Funds II, Inc. |
The following chart shall be used to calculate Fees for Class R5 and Y shares of the following funds:
| The Hartford Advisers Fund | The Hartford Global Growth Fund | The Hartford International Opportunities Fund | ||||
| The Hartford Balanced Allocation Fund2 | The Hartford Global Health Fund | The Hartford International Small Company Fund3 | ||||
| The Hartford Capital Appreciation II Fund | The Hartford Growth Allocation Fund2 | The Hartford Small Company Fund | ||||
| The Hartford Conservative Allocation Fund2 | The Hartford Growth Fund | The Hartford SmallCap Growth Fund | ||||
| The Hartford Equity Income Fund | The Hartford High Yield Fund | The Hartford Value Fund | ||||
| The Hartford Equity Growth Allocation Fund2 | The Hartford International Growth Fund | |||||
| Fund Name | Share | Total | Administrative | 12b-1 Fee | Other | |
| Class | Compensation | Service Fee | (Service | Fee1 | ||
| Fee) | ||||||
| Hartford Mutual Funds, Inc. | R5 | __ bps | __ bps | __ bps | __ bps | |
| Hartford Mutual Funds II, Inc. | ||||||
| Hartford Mutual Funds, Inc. | Y | __ bps | __ bps | __ bps | __ bps | |
| Hartford Mutual Funds II, Inc. | ||||||
The following chart shall be used to calculate Fees for Class R5 and Y shares of the following funds:
| The Hartford Capital Appreciation Fund | The Hartford Dividend & Growth Fund | The Hartford Growth Opportunities Fund | ||||
| The Hartford Checks & Balances Fund2 | The Hartford Floating Rate Fund | The Hartford MidCap Fund | ||||
| The Hartford Disciplined Equity Fund | The Hartford Fundamental Growth Fund3 | The Hartford MidCap Value Fund3 | ||||
| The Hartford Diversified International Fund | The Hartford Global Research Fund | The Hartford Value Opportunities Fund | ||||
| Fund Name | Share | Total | Administrative | 12b-1 Fee | Other | |
| Class | Compensation | Service Fee | (Service | Fee1 | ||
| Fee) | ||||||
| Hartford Mutual Funds, Inc. | R5 | __bps | __ bps | __ bps | __ bps | |
| Hartford Mutual Funds II, Inc. | ||||||
| Hartford Mutual Funds, Inc. | Y | __ bps | __ bps | __ bps | __ bps | |
| Hartford Mutual Funds II, Inc. | ||||||
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The following chart shall be used to calculate Fees for Class R5 and Y shares of the following funds:
| The Hartford Income Fund3 | The Hartford Select SmallCap Value Fund3 | The Hartford Small/Mid Cap Equity Fund3 | ||||
| The Hartford Inflation Plus Fund | The Hartford Short Duration Fund3 | The Hartford Total Return Bond Fund | ||||
| Fund Name | Share | Total | Administrative | 12b-1 Fee | Other | |
| Class | Compensation | Service Fee | (Service | Fee1 | ||
| Fee) | ||||||
| Hartford Mutual Funds, Inc. | R5 | __ bps | __ bps | __ bps | __ bps | |
| Hartford Mutual Funds II, Inc. | ||||||
| Hartford Mutual Funds, Inc. | Y | __ bps | __ bps | __ bps | __ bps | |
| Hartford Mutual Funds II, Inc. | ||||||
1 The ‘Other Fee’ is not paid on any share class of the following Funds:
The Hartford Target Retirement 2010 Fund The Hartford Target Retirement 2015 Fund The Hartford Target Retirement 2020 Fund
2 Fund does not have Class Y shares.
The Hartford Target Retirement 2025 Fund The Hartford Target Retirement 2030 Fund The Hartford Target Retirement 2035 Fund
3 Fund does not have Class R3, R4, or R5 shares.
The Hartford Target Retirement 2040 Fund The Hartford Target Retirement 2045 Fund The Hartford Target Retirement 2050 Fund
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Please contact Hartford Dealer Support to ensure the quarterly invoice includes the appropriate level of detail. An example of an invoice is available upon request. Administrative and Other Fees must be invoiced and or accounted for separately.
| Email Invoice To: |
| XxxxxxXxxxxXxxxxxXxxxxxx@XxxxxxxxXxxx.xxx |
| For Questions Contact: Dealer Support: |
| (000) 000-0000 |
| Opt #2 • ext. 14130 |
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