FOURTH AMENDMENT TO
Exhibit 24(b)(8.134)
FOURTH AMENDMENT TO
This Fourth Amendment to Fund Participation Agreement (“Amendment”) is entered into effective September 1, 2015, by and among Xxxx Xxxxx Investor Services, LLC (the “Distributor”), Voya Retirement Insurance and Annuity Company (“VRIAC”) and Voya Financial Partners, LLC (“Voya Financial” and VRIAC are collectively referred to herein as “Voya”). Distributor and Voya shall each be referred to separately as a “Party”, and together as the “Parties”.
WHEREAS, the Parties entered into a Fund Participation Agreement dated February 1, 2001, last amended December 17, 2014 (the “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;
WHEREAS, the Parties desire to amend the Agreement;
NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:
1. Schedule B of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule B of the Agreement. Voya’s compensation will be as shown in Schedule B.
2. Notices. Notices required by this Agreement should be sent as follows:
Voya: c/o VRIAC/Voya Financial
Attn: Xxxxxxxxxx Xxxxxxx
Fax: 000-000-0000
Distributor: c/x Xxxx Xxxxx
100First Stamford Place, 5th Floor
Stamford, CT 06902
Attn: Business Implementation
Fax: 000-000-0000
3. Effectiveness of Payment Obligations. No compensation, fees or payment obligations contemplated by this Amendment will accrue until the effective date of this Amendment as stated above.
4. Other Terms. Other than the foregoing, all other terms and conditions of the Agreement shall remain unchanged and in full force and effect and are ratified and confirmed in all respects by the Parties to this Amendment.
Page 1 of 11
For the purpose of referring to this Amendment, the date of this Amendment shall be the effective date as stated above.
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Xxxx Xxxxx Investor Services, LLC
By: /s/ Xxxxxxx X. Xxxxxxx Name: Xxxxxxx X. Xxxxxxx Title: Director Date: 10/7/15 |
Voya Retirement Insurance and Annuity Company
By: /s/ Xxxx Xxxxxxx Name: Xxxx Xxxxxxx Title: Vice President Date: 9/15/15
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Western Asset Management Company (solely as a limited party for the purpose of approving those fee payment obligations allocated to Distributor on behalf of the Western Asset family of funds)
By: /s/ Xxxxxxx X. Xxx Xxxxxxxxx Name: Xxxxxxx X. Xxx Xxxxxxxxx Title: Head of New York Operations/ Client Service/Marketing Date: ___________________________
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Voya Financial Partners, LLC
By: /s/ Xxxx Xxxxxxx Name: Xxxx Xxxxxxx Title: Vice President Date: 9/15/15
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Page 2 of 11
SCHEDULE B
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Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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ClearBridge Aggressive Growth Fund |
A |
SHRAX |
00000X000 |
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ClearBridge All Cap Value Fund |
A |
SHFVX |
00000X000 |
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ClearBridge Appreciation Fund |
A |
SHAPX |
00000X000 |
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ClearBridge Dividend Strategy Fund |
A |
SOPAX |
00000X000 |
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ClearBridge International Value Fund |
A |
SBIEX |
00000X000 |
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ClearBridge Large Cap Growth Fund |
A |
SBLGX |
00000X000 |
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ClearBridge Large Cap Value Fund |
A |
SINAX |
00000X000 |
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ClearBridge Mid Cap Core Fund |
A |
SBMAX |
00000X000 |
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ClearBridge Mid Cap Growth Fund |
A |
LBGAX |
00000X000 |
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ClearBridge Small Cap Growth Fund |
A |
SASMX |
00000X000 |
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ClearBridge Small Cap Value Fund |
A |
SBVAX |
00000X000 |
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ClearBridge Tactical Dividend Income Fund |
A |
CFLGX |
00000X000 |
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Permal Alternative Core Fund |
A |
LPTAX |
00000X000 |
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QS Batterymarch Global Equity Fund |
A |
CFIPX |
00000X000 |
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Western Asset Adjustable Rate Income Fund |
A |
ARMZX |
00000X000 |
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Western Asset Corporate Bond Fund |
A |
SIGAX |
00000X000 |
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Western Asset Emerging Markets Debt Fund |
A |
LWEAX |
00000X000 |
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Western Asset Global High Yield Bond Fund |
A |
SAHYX |
00000X000 |
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Western Asset Global Strategic Income Fund |
A |
SDSAX |
00000X000 |
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Western Asset Mortgage Backed Securities Fund |
A |
SGVAX |
00000X000 |
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Western Asset Short Duration High Income Fund |
A |
SHIAX |
00000X000 |
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Western Asset Short-Term Bond Fund |
A |
SBSTX |
00000X000 |
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Western Asset Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Core Bond Fund |
A |
WABAX |
957663495 |
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Western Asset Core Plus Bond Fund |
A |
WAPAX |
957663461 |
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Western Asset Global Government Bond Fund |
A |
WAOAX |
957663263 |
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Western Asset High Yield Fund |
A |
WAYAX |
957663396 |
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Western Asset Inflation Indexed Plus Bond Fund |
A |
WAFAX |
957663362 |
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Western Asset Intermediate Bond Fund |
A |
WATAX |
957663339 |
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Western Asset Total Return Unconstrained Fund |
A |
WAUAX |
957663230 |
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Page 3 of 11
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Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of _____ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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ClearBridge Energy MLP & Infrastructure Fund |
A |
LCPAX |
00000X000 |
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ClearBridge Global Growth Trust |
A |
LGGAX |
524686540 |
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ClearBridge International Small Cap Fund |
A |
LCOAX |
00000X000 |
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ClearBridge Select Fund |
A |
LCLAX |
00000X000 |
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ClearBridge Small Cap Fund |
A |
LMSAX |
524686482 |
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ClearBridge Value Trust |
A |
LGVAX |
524686623 |
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Xxxx Xxxxx XX Absolute Return Opportunities Fund |
A |
LROAX |
524686722 |
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Xxxx Xxxxx XX Diversified Large Cap Value Fund |
A |
LBWAX |
524686789 |
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Xxxx Xxxxx XX Global Opportunities Bond Fund |
A |
GOBAX |
524686383 |
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Xxxx Xxxxx XX International Opportunities Bond Fund |
A |
LWOAX |
524686656 |
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Xxxx Xxxxx Opportunity Trust |
A |
LGOAX |
00000X000 |
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QS Batterymarch Emerging Markets Fund |
A |
LMRAX |
524686177 |
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QS Batterymarch International Equity Fund |
A |
LMEAX |
524686292 |
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QS Batterymarch U.S. Small Capitalization Equity Fund |
A |
LMBAX |
524686433 |
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QS Xxxx Xxxxx Strategic Real Return Fund |
A |
LRRAX |
524686607 |
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Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ____ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Xxxx Xxxxx XX Alternative Credit Fund |
A |
LMAPX |
00000X000 |
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Xxxx Xxxxx XX Dynamic Large Cap Value Fund |
A |
LMBJX |
00000X000 |
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Xxxx Xxxxx XX Global High Yield Fund |
A |
LBHAX |
00000X000 |
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QS Batterymarch U.S. Large Cap Equity Fund |
A |
LMUPX |
00000X000 |
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Xxxxxx Income Opportunity Trust |
A |
LMCJX |
00000X000 |
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Permal Alternative Select Fund |
A |
PASEX |
00000X000 |
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QS Xxxx Xxxxx Dynamic Multi-Strategy Fund |
A |
LDFAX |
00000X000 |
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Western Asset Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Macro Opportunities Fund |
A |
LAAAX |
00000X000 |
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Xxxx Xxxxx Class A - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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QS Batterymarch S&P 500 Index Fund |
A |
SBSPX |
00000X000 |
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QS Xxxx Xxxxx Conservative Growth Fund |
A |
SBBAX |
00000X000 |
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QS Xxxx Xxxxx Defensive Growth Fund |
A |
SBCPX |
00000X000 |
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QS Xxxx Xxxxx Growth Fund |
A |
SCHAX |
00000X000 |
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QS Xxxx Xxxxx Moderate Growth Fund |
A |
SCGRX |
00000X000 |
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Western Asset Money Market Funds - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Government Reserves |
A |
SMGXX |
00000X000 |
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Western Asset Liquid Reserves |
A |
LLAXX |
00000X000 |
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Page 4 of 11
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Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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ClearBridge Aggressive Growth Fund |
C |
SAGCX |
00000X000 |
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ClearBridge All Cap Value Fund |
C |
SFVCX |
00000X000 |
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ClearBridge Appreciation Fund |
C |
SAPCX |
00000X000 |
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ClearBridge Dividend Strategy Fund |
C |
SBPLX |
00000X000 |
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ClearBridge Energy MLP & Infrastructure Fund |
C |
LCPCX |
00000X000 |
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ClearBridge Global Growth Trust |
C |
LMGTX |
524686532 |
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ClearBridge International Small Cap Fund |
C |
LCOCX |
00000X000 |
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ClearBridge International Value Fund |
C |
SBICX |
00000X000 |
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ClearBridge Large Cap Growth Fund |
C |
SLCCX |
00000X000 |
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ClearBridge Large Cap Value Fund |
C |
SINOX |
00000X000 |
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ClearBridge Mid Cap Core Fund |
C |
SBMLX |
00000X000 |
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ClearBridge Mid Cap Growth Fund |
C |
LBGCX |
00000X000 |
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ClearBridge Select Fund |
C |
LCLCX |
00000X000 |
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ClearBridge Small Cap Fund |
C |
LMASX |
524686474 |
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ClearBridge Small Cap Growth Fund |
C |
SCSMX |
00000X000 |
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ClearBridge Small Cap Value Fund |
C |
SBVLX |
00000X000 |
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ClearBridge Tactical Dividend Income Fund |
C |
SMDLX |
00000X000 |
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ClearBridge Value Trust |
C |
LMVTX |
524686615 |
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Xxxx Xxxxx XX Absolute Return Opportunities Fund |
C |
LAOCX |
524686128 |
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Xxxx Xxxxx XX Diversified Large Cap Value Fund |
C |
LBWCX |
524686771 |
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Xxxx Xxxxx XX Global Opportunities Bond Fund |
C |
LGOCX |
524686144 |
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Xxxx Xxxxx XX International Opportunities Bond Fund |
C |
LIOCX |
524686136 |
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Xxxx Xxxxx Opportunity Trust |
C |
LMOPX |
00000X000 |
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Permal Alternative Core Fund |
C |
LPTCX |
00000X000 |
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QS Batterymarch Emerging Markets Fund |
C |
LMEMX |
524686235 |
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QS Batterymarch Global Equity Fund |
C |
SILLX |
00000X000 |
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QS Batterymarch International Equity Fund |
C |
LMGEX |
524686284 |
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QS Xxxx Xxxxx Strategic Real Return Fund |
C |
LRRCX |
524686706 |
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Western Asset Adjustable Rate Income Fund |
C |
LWAIX |
00000X000 |
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Western Asset Corporate Xxxx Xxxx |
X |
XXXXX |
00000X000 |
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Xxxxxxx Xxxxx Emerging Markets Debt Fund |
C |
WAEOX |
00000X000 |
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Western Asset Global High Yield Bond Fund |
C |
LWGOX |
00000X000 |
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Western Asset Global Strategic Income Fund |
C |
LWSIX |
00000X000 |
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Western Asset Mortgage Backed Securities Fund |
C |
LWMSX |
00000X000 |
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Western Asset Short Duration High Income Fund |
C |
LWHIX |
00000X000 |
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Western Asset Short-Term Bond Fund |
C |
LWSOX |
00000X000 |
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Western Asset Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Core Bond Fund |
C |
WABCX |
957663487 |
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Western Asset Core Plus Bond Fund |
C |
WAPCX |
957663453 |
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Western Asset Global Government Bond Fund |
C |
WAOCX |
957663255 |
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Western Asset High Xxxxx Xxxx |
X |
XXXXX |
000000000 |
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Xxxxxxx Xxxxx Inflation Indexed Plus Bond Fund |
C |
WAFCX |
957663354 |
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Western Asset Intermediate Bond Fund |
C |
WATCX |
957663321 |
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Page 5 of 11
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Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Xxxx Xxxxx XX Alternative Credit Fund |
C |
LMAQX |
00000X000 |
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Xxxx Xxxxx XX Dynamic Large Cap Value Fund |
C |
LMBBX |
00000X000 |
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Xxxx Xxxxx XX Global High Yield Fund |
C |
LBHCX |
00000X000 |
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QS Batterymarch U.S. Large Cap Equity Fund |
C |
LMUGX |
00000X000 |
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QS Batterymarch U.S. Small Capitalization Equity Fund |
C |
LMBCX |
524686425 |
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Xxxxxx Income Opportunity Trust |
C |
LCMNX |
00000X000 |
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Permal Alternative Select Fund |
C |
PASLX |
00000X000 |
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QS Xxxx Xxxxx Dynamic Multi-Strategy Fund |
C |
LDYCX |
00000X000 |
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Xxxx Xxxxx Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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QS Xxxx Xxxxx Conservative Growth Fund |
C |
SCBCX |
00000X000 |
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QS Xxxx Xxxxx Defensive Growth Fund |
C |
LWLAX |
00000X000 |
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QS Xxxx Xxxxx Growth Fund |
C |
SCHCX |
00000X000 |
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QS Xxxx Xxxxx Moderate Growth Fund |
C |
SCGCX |
00000X000 |
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Western Asset Class C - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Macro Opportunities Fund |
C |
LAACX |
00000X000 |
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Western Asset Total Return Unconstrained Fund |
C |
WAUCX |
957663222 |
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Xxxx Xxxxx Class C1 - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Xxxx Xxxxx XX Absolute Return Opportunities Fund |
C1 |
LROCX |
524686714 |
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Xxxx Xxxxx XX Global Opportunities Bond Fund |
C1 |
GOBCX |
524686375 |
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Xxxx Xxxxx XX International Opportunities Bond Fund |
C1 |
LWOCX |
524686649 |
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Western Asset Adjustable Rate Income Fund |
C1 |
ARMGX |
00000X000 |
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Western Asset Corporate Bond Fund |
C1 |
SBILX |
00000X000 |
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Western Asset Emerging Markets Debt Fund |
C1 |
LWECX |
00000X000 |
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Western Asset Global High Yield Bond Fund |
C1 |
SHYCX |
00000X000 |
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Western Asset Global Strategic Income Fund |
C1 |
SDSIX |
00000X000 |
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Western Asset Mortgage Backed Securities Fund |
C1 |
SGSLX |
00000X000 |
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Western Asset Short Duration High Income Fund |
C1 |
SHICX |
00000X000 |
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Western Asset Short-Term Bond Fund |
C1 |
SSTLX |
00000X000 |
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Western Asset Class C1 - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Core Bond Fund |
C1 |
LWACX |
957663164 |
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Western Asset Core Plus Bond Fund |
C1 |
LWCPX |
957663156 |
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Western Asset Inflation Indexed Plus Bond Fund |
C1 |
LWICX |
957663149 |
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Xxxx Xxxxx Class C1 - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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QS Xxxx Xxxxx Defensive Growth Fund |
C1 |
SBCLX |
00000X000 |
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Xxxx Xxxxx Class D - Funds with annual compensation on assets comprised of recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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QS Batterymarch S&P 500 Index Fund |
D |
SBSDX |
00000X000 |
Page 6 of 11
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Xxxx Xxxxx Class FI - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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ClearBridge Aggressive Growth Fund |
FI |
LMPFX |
00000X000 |
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ClearBridge Appreciation Fund |
FI |
LMPIX |
00000X000 |
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ClearBridge Dividend Strategy Fund |
FI |
LBRIX |
00000X000 |
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ClearBridge Energy MLP & Infrastructure Fund |
FI |
LCIFX |
00000X000 |
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ClearBridge Global Growth Trust |
FI |
LMGFX |
524686516 |
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ClearBridge Large Cap Growth Fund |
FI |
LMPGX |
00000X000 |
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ClearBridge Mid Cap Growth Fund |
FI |
TBD |
00000X000 |
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ClearBridge Select Fund |
FI |
LCBSX |
00000X000 |
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ClearBridge Small Cap Fund |
FI |
LGASX |
524686458 |
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ClearBridge Small Cap Growth Fund |
FI |
LMPSX |
00000X000 |
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ClearBridge Sustainability Leaders Fund |
FI |
LCSTX |
00000X000 |
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ClearBridge Value Trust |
FI |
LMVFX |
524686565 |
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Xxxx Xxxxx XX Absolute Return Opportunities Fund |
FI |
LBAFX |
524686698 |
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Xxxx Xxxxx XX Alternative Credit Fund |
FI |
LMAOX |
00000X000 |
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Xxxx Xxxxx XX Diversified Large Cap Value Fund |
FI |
TBD |
524686763 |
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Xxxx Xxxxx XX Global High Yield Fund |
FI |
LBHFX |
00000X000 |
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Xxxx Xxxxx XX Global Opportunities Bond Fund |
FI |
GOBFX |
524686326 |
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Xxxx Xxxxx XX International Opportunities Bond Fund |
FI |
LWOFX |
524686300 |
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Xxxx Xxxxx Opportunity Trust |
FI |
LMOFX |
00000X000 |
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Xxxxxx Xxxxxx Emerging Markets Fund |
FI |
MEFIX |
00000X000 |
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Xxxxxx Income Opportunity Trust |
FI |
LMCKX |
00000X000 |
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Permal Alternative Core Fund |
FI |
LPTFX |
00000X000 |
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Permal Alternative Select Fund |
FI |
PASFX |
00000X000 |
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QS Batterymarch Emerging Markets Fund |
FI |
LGFMX |
524686219 |
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QS Batterymarch Global Dividend Fund |
FI |
LDIGX |
00000X000 |
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QS Batterymarch International Dividend Fund |
FI |
LTIDX |
00000X000 |
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QS Batterymarch International Equity Fund |
FI |
LGFEX |
524686268 |
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QS Batterymarch U.S. Large Cap Equity Fund |
FI |
LMUSX |
00000X000 |
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QS Batterymarch U.S. Small Capitalization Equity Fund |
FI |
LGSCX |
524686342 |
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QS Xxxx Xxxxx Strategic Real Return Fund |
FI |
TBD |
524686805 |
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Western Asset Emerging Markets Debt Fund |
FI |
LMWDX |
00000X000 |
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Western Asset Short Term Yield Fund |
FI |
TBD |
00000X000 |
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Western Asset Class FI - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Inflation Indexed Plus Bond Fund |
FI |
WATPX |
957663875 |
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Western Asset Macro Opportunities Fund |
FI |
LAFIX |
00000X000 |
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Western Asset Class FI - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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Western Asset Core Bond Fund |
FI |
WAPIX |
957663404 |
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Western Asset Core Plus Bond Fund |
FI |
WACIX |
957663602 |
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Western Asset Enhanced Equity Fund |
FI |
TBD |
957663784 |
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Western Asset Global Government Bond Fund |
FI |
TBD |
957663859 |
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Western Asset High Yield Fund |
FI |
TBD |
957663834 |
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Western Asset Intermediate Bond Fund |
FI |
WAIFX |
957663800 |
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Western Asset Money Market Fund |
FI |
TBD |
957663768 |
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Western Asset Total Return Unconstrained Fund |
FI |
WARIX |
957663693 |
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Western Asset US Govt Money Market Fund |
FI |
TBD |
957663743 |
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Page 7 of 11
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Xxxx Xxxxx Class I - Funds with annual compensation on assets comprised of recordkeeping fees of ___ bps. |
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Fund Name |
Class |
Ticker |
CUSIP |
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ClearBridge Aggressive Growth Fund |
I |
SAGYX |
00000X000 |
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ClearBridge All Cap Value Fund |
I |
SFVYX |
00000X000 |
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ClearBridge Appreciation Fund |
I |
SAPYX |
00000X000 |
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ClearBridge Dividend Strategy Fund |
I |
SOPYX |
00000X000 |
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ClearBridge International Value Fund |
I |
SBIYX |
00000X000 |
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ClearBridge Large Cap Growth Fund |
I |
SBLYX |
00000X000 |
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ClearBridge Large Cap Value Fund |
I |
SAIFX |
00000X000 |
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ClearBridge Mid Cap Core Fund |
I |
SMBYX |
00000X000 |
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ClearBridge Mid Cap Growth Fund |
I |
LBGIX |
00000X000 |
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ClearBridge Small Cap Growth Fund |
I |
SBPYX |
00000X000 |
|
ClearBridge Small Cap Value Fund |
I |
SMCYX |
00000X000 |
|
ClearBridge Tactical Dividend Income Fund |
I |
LADIX |
00000X000 |
|
Permal Alternative Core Fund |
I |
LPTIX |
00000X000 |
|
QS Batterymarch Global Equity Fund |
I |
SMYIX |
00000X000 |
|
Western Asset Adjustable Rate Income Fund |
I |
SBAYX |
00000X000 |
|
Western Asset Corporate Bond Fund |
I |
SIGYX |
00000X000 |
|
Western Asset Emerging Markets Debt Fund |
I |
SEMDX |
00000X000 |
|
Western Asset Global Strategic Income Fund |
I |
SDSYX |
00000X000 |
|
Western Asset Mortgage Backed Securities Fund |
I |
SGSYX |
00000X000 |
|
Western Asset Short-Term Bond Fund |
I |
SBSYX |
00000X000 |
|
Western Asset Short Duration High Income Fund |
I |
SHIYX |
00000X000 |
|
|
|
|
|
|
Xxxx Xxxxx Class I - Funds with annual compensation on assets comprised of recordkeeping fees of ___ bps. |
|||
|
Fund Name |
Class |
Ticker |
CUSIP |
|
ClearBridge Energy MLP & Infrastructure Fund |
I |
LCPIX |
00000X000 |
|
ClearBridge International Small Cap Fund |
I |
LCOIX |
00000X000 |
|
ClearBridge Select Fund |
I |
LBFIX |
00000X000 |
|
ClearBridge Sustainability Leaders Fund |
I |
LCISX |
00000X000 |
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
I |
LROIX |
524686672 |
|
Xxxx Xxxxx XX Alternative Credit Fund |
I |
LMANX |
00000X000 |
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
I |
LBWIX |
524686755 |
|
Xxxx Xxxxx XX Dynamic Large Cap Value Fund |
I |
LMBEX |
00000X000 |
|
Xxxx Xxxxx XX Global High Yield Fund |
I |
LMYIX |
524686169 |
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
I |
GOBIX |
524686334 |
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
I |
LWOIX |
524686409 |
|
Xxxxxx Xxxxxx Emerging Markets Fund |
I |
MCEIX |
00000X000 |
|
Xxxxxx Income Opportunity Trust |
I |
LMCLX |
00000X000 |
|
Permal Alternative Select Fund |
I |
PASWX |
00000X000 |
|
QS Batterymarch Global Dividend Fund |
I |
LTTMX |
00000X000 |
|
QS Batterymarch International Dividend Fund |
I |
LVIDX |
00000X000 |
|
QS Batterymarch U.S. Large Cap Equity Fund |
I |
LMTIX |
00000X000 |
|
QS Xxxx Xxxxx Conservative Growth Fund |
I |
LMEIX |
00000X000 |
|
QS Xxxx Xxxxx Defensive Growth Fund |
I |
LMGIX |
00000X000 |
|
QS Xxxx Xxxxx Dynamic Multi-Strategy Fund |
I |
LDIIX |
00000X000 |
|
QS Xxxx Xxxxx Growth Fund |
I |
LANIX |
00000X000 |
|
QS Xxxx Xxxxx Moderate Growth Fund |
I |
LLAIX |
00000X000 |
|
Western Asset Global High Yield Bond Fund |
I |
SHYOX |
00000X000 |
|
Western Asset Short Term Yield Fund |
I |
WTYIX |
00000X000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Page 8 of 11
|
Western Asset Class I - Funds with annual compensation on assets comprised of recordkeeping fees of __ bps. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
Western Asset Core Bond Fund |
I |
WATFX |
957663305 |
|||
|
Western Asset Core Plus Bond Fund |
I |
WACPX |
957663503 |
|||
|
Western Asset Enhanced Equity Fund |
I |
TBD |
957663792 |
|||
|
Western Asset Global Government Bond Fund |
I |
WAFIX |
957663867 |
|||
|
Western Asset High Yield Fund |
I |
WAHYX |
957663842 |
|||
|
Western Asset Inflation Indexed Plus Bond Fund |
I |
WAIIX |
957663883 |
|||
|
Western Asset Intermediate Bond Fund |
I |
WATIX |
957663701 |
|||
|
Western Asset Macro Opportunities Fund |
I |
LAOIX |
00000X000 |
|||
|
Western Asset Money Market Fund |
I |
TBD |
957663776 |
|||
|
Western Asset Total Return Unconstrained Fund |
I |
WAARX |
957663719 |
|||
|
Western Asset US Govt Money Market Fund |
I |
TBD |
957663750 |
|||
|
|
|
|
|
|||
|
Western Asset Money Market Funds - Funds with annual compensation on assets comprised of and recordkeeping fees of ___ bps. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
Western Asset Institutional Liquid Reserves |
I |
CILXX |
00000X000 |
|||
|
|
|
|
|
|||
|
Xxxx Xxxxx Class I - Funds with annual compensation on assets comprised of recordkeeping fees of ___ bps. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
ClearBridge Global Growth Trust |
I |
LMGNX |
524686524 |
|||
|
ClearBridge Small Cap Fund |
I |
LMNSX |
524686466 |
|||
|
ClearBridge Value Trust |
I |
LMNVX |
524686573 |
|||
|
Xxxx Xxxxx Opportunity Trust |
I |
LMNOX |
00000X000 |
|||
|
QS Batterymarch Emerging Markets Fund |
I |
LGEMX |
524686227 |
|||
|
QS Batterymarch International Equity Fund |
I |
LGIEX |
524686276 |
|||
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
I |
LMSIX |
524686359 |
|||
|
QS Xxxx Xxxxx Strategic Real Return Fund |
I |
LRRIX |
524686888 |
|||
|
|
|
|
|
|||
|
Xxxx Xxxxx Class IS - Funds with no annual compensation on assets. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
ClearBridge Aggressive Growth Fund |
IS |
LSIFX |
00000X000 |
|||
|
ClearBridge All Cap Value Fund |
IS |
LSISX |
00000X000 |
|||
|
ClearBridge Appreciation Fund |
IS |
LMESX |
00000X000 |
|||
|
Clearbridge Dividend Strategy Fund |
IS |
LCBEX |
00000X000 |
|||
|
ClearBridge Energy MLP & Infrastructure Fund |
IS |
LCPSX |
00000X000 |
|||
|
ClearBridge International Small Cap Fund |
IS |
CBISX |
00000X000 |
|||
|
ClearBridge International Value Fund |
IS |
LSIUX |
00000X000 |
|||
|
ClearBridge Large Cap Growth Fund |
IS |
LSITX |
00000X000 |
|||
|
ClearBridge Large Cap Value Fund |
IS |
LMLSX |
00000X000 |
|||
|
ClearBridge Mid Cap Core Fund |
IS |
LSIRX |
00000X000 |
|||
|
ClearBridge Mid Cap Growth Fund |
IS |
LCMIX |
00000X000 |
|||
|
ClearBridge Select Fund |
IS |
LCSSX |
00000X000 |
|||
|
ClearBridge Small Cap Growth Fund |
IS |
LMOIX |
00000X000 |
|||
|
ClearBridge Small Cap Value Fund |
IS |
LCBIX |
00000X000 |
|||
|
ClearBridge Sustainability Leaders Fund |
IS |
LCILX |
00000X000 |
|||
|
ClearBridge Tactical Dividend Income Fund |
IS |
LCBDX |
00000X000 |
|||
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
IS |
LROSX |
524686664 |
|||
|
Xxxx Xxxxx XX Alternative Credit Fund |
IS |
LMAMX |
00000X000 |
|||
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
IS |
LBISX |
524686730 |
|||
|
Xxxx Xxxxx XX Dynamic Large Cap Value Fund |
IS |
LMBGX |
00000X000 |
|||
|
Xxxx Xxxxx XX Global High Yield Fund |
IS |
LMZIX |
524686151 |
|||
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
IS |
GOBSX |
524686318 |
|||
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
IS |
LMOTX |
524686508 |
|||
|
Xxxxxx Xxxxxx Emerging Markets Fund |
IS |
MCEMX |
00000X000 |
|||
|
Xxxxxx Income Opportunity Trust |
IS |
LMCMX |
00000X000 |
|||
Page 9 of 11
|
Permal Alternative Core Fund |
IS |
LPTSX |
00000X000 |
|||
|
Permal Alternative Select Fund |
IS |
PASQX |
00000X000 |
|||
|
QS Batterymarch Emerging Markets Fund |
IS |
LGMSX |
524686193 |
|||
|
QS Batterymarch Global Dividend Fund |
IS |
LDIFX |
00000X000 |
|||
|
QS Batterymarch International Dividend Fund |
IS |
LDIVX |
00000X000 |
|||
|
QS Batterymarch International Equity Fund |
IS |
LIESX |
524686243 |
|||
|
QS Batterymarch U.S. Large Cap Equity Fund |
IS |
LMISX |
00000X000 |
|||
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
IS |
LMBMX |
524686391 |
|||
|
QS Xxxx Xxxxx Strategic Real Return Fund |
IS |
LRRSX |
524686870 |
|||
|
Western Asset Adjustable Rate Income Fund |
IS |
ARMLX |
00000X000 |
|||
|
Western Asset Emerging Markets Debt Fund |
IS |
LWISX |
00000X000 |
|||
|
Western Asset Global High Yield Bond Fund |
IS |
LWGSX |
00000X000 |
|||
|
Western Asset Global Strategic Income Fund |
IS |
WAGIX |
00000X000 |
|||
|
Western Asset Short-Term Bond Fund |
IS |
XXXXX |
00000X000 |
|||
|
Western Asset Short Term Yield Fund |
IS |
TBD |
00000X000 |
|||
|
Western Asset Ultra Short Obligations Fund |
IS |
LWAUX |
00000X000 |
|||
|
|
|
|
|
|||
|
Western Asset Class IS - Funds with no annual compensation on assets. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
Western Asset Core Bond Fund |
IS |
WACSX |
957663677 |
|||
|
Western Asset Core Plus Bond Fund |
IS |
WAPSX |
957663669 |
|||
|
Western Asset Global Government Bond Fund |
IS |
WAOSX |
957663560 |
|||
|
Western Asset High Yield Fund |
IS |
WAHSX |
957663636 |
|||
|
Western Asset Inflation Indexed Plus Bond Fund |
IS |
WAFSX |
957663545 |
|||
|
Western Asset Intermediate Bond Fund |
IS |
WABSX |
957663610 |
|||
|
Western Asset Total Return Unconstrained Fund |
IS |
WAASX |
957663685 |
|||
|
|
|
|
|
|||
|
Xxxx Xxxxx Class P - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
Western Asset Corporate Bond Fund |
P |
LCBPX |
00000X000 |
|||
|
|
|
|
|
|||
|
Xxxx Xxxxx Class R - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
ClearBridge Aggressive Growth Fund |
R |
LMPRX |
00000X000 |
|||
|
ClearBridge Appreciation Fund |
R |
LMPPX |
00000X000 |
|||
|
ClearBridge Dividend Strategy Fund |
R |
LMMRX |
00000X000 |
|||
|
ClearBridge Global Growth Trust |
R |
LMGRX |
524686490 |
|||
|
ClearBridge International Value Fund |
R |
LIORX |
00000X000 |
|||
|
ClearBridge Large Cap Growth Fund |
R |
LMPLX |
00000X000 |
|||
|
ClearBridge Large Cap Value Fund |
R |
LCBVX |
00000X000 |
|||
|
ClearBridge Mid Cap Core Fund |
R |
LMREX |
00000X000 |
|||
|
ClearBridge Mid Cap Growth Fund |
R |
LCMRX |
00000X000 |
|||
|
ClearBridge Small Cap Fund |
R |
LMARX |
524686441 |
|||
|
ClearBridge Small Cap Growth Fund |
R |
LMPOX |
00000X000 |
|||
|
ClearBridge Value Trust |
R |
LMVRX |
524686557 |
|||
|
Xxxx Xxxxx XX Absolute Return Opportunities Fund |
R |
LBARX |
524686680 |
|||
|
Xxxx Xxxxx XX Global Opportunities Bond Fund |
R |
LBORX |
524686367 |
|||
|
Xxxx Xxxxx XX International Opportunities Bond Fund |
R |
LWORX |
524686631 |
|||
|
Xxxx Xxxxx Opportunity Trust |
R |
LMORX |
00000X000 |
|||
|
QS Batterymarch Emerging Markets Fund |
R |
LBERX |
524686185 |
|||
|
QS Batterymarch International Equity Fund |
R |
LMIRX |
524686250 |
|||
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
R |
LMBRX |
524686417 |
|||
|
|
|
|
|
|||
|
|
|
|
|
|||
|
|
|
|
|
|||
Page 10 of 11
|
Western Asset Class R - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
Western Asset Core Bond Fund |
R |
WABRX |
957663479 |
|||
|
Western Asset Core Plus Bond Fund |
R |
WAPRX |
957663446 |
|||
|
Western Asset Global Government Bond Fund |
R |
WAORX |
957663248 |
|||
|
Western Asset High Yield Fund |
R |
WAYRX |
957663370 |
|||
|
Western Asset Inflation Indexed Plus Bond Fund |
R |
WAFRX |
957663347 |
|||
|
Western Asset Intermediate Bond Fund |
R |
WATRX |
957663313 |
|||
|
Western Asset Total Return Unconstrained Fund |
R |
WAURX |
957663214 |
|||
|
|
|
|
|
|||
|
Xxxx Xxxxx Class R - Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of ___ bps. |
||||||
|
Fund Name |
Class |
Ticker |
CUSIP |
|||
|
Xxxx Xxxxx XX Diversified Large Cap Value Fund |
R |
LBDRX |
524686748 |
|||
|
Xxxx Xxxxx XX Dynamic Large Cap Value Fund |
R |
LMBHX |
00000X000 |
|||
|
Xxxx Xxxxx XX Global High Yield Fund |
R |
LBHRX |
00000X000 |
|||
|
QS Batterymarch U.S. Large Cap Equity Fund |
R |
LMUOX |
00000X000 |
|||
|
QS Batterymarch U.S. Small Capitalization Equity Fund |
R |
LMBRX |
524686417 |
|||
|
Xxxxxx Income Opportunity Trust |
R |
TBD |
00000X000 |
|||
|
QS Xxxx Xxxxx Conservative Growth Fund |
R |
LLARX |
00000X000 |
|||
|
QS Xxxx Xxxxx Defensive Growth Fund |
R |
LMLRX |
00000X000 |
|||
|
QS Xxxx Xxxxx Dynamic Multi-Strategy Fund |
R |
LMDRX |
00000X000 |
|||
|
QS Xxxx Xxxxx Growth Fund |
R |
LLLRX |
00000X000 |
|||
|
QS Xxxx Xxxxx Moderate Growth Fund |
R |
LLMRX |
00000X000 |
|||
|
QS Xxxx Xxxxx Strategic Real Return Fund |
R |
TBD |
524686862 |
|||
|
Western Asset Emerging Markets Debt Fund |
R |
WAERX |
00000X000 |
|||
|
Western Asset Short Duration High Income Fund |
R |
LWSRX |
00000X000 |
|||
|
Western Asset Short-Term Bond Fund |
R |
LWARX |
00000X000 |
|||
|
|
|
|
|
|||
Page 11 of 11
