PRIME BROKER MARGIN ACCOUNT AGREEMENTPrime Broker Margin Account Agreement • August 29th, 2014 • Hartford Mutual Funds Inc/Ct • New York
DEUTSCHE BANK SECURITIES INC. (“DBSI”), THE HARTFORD MUTUAL FUNDS, INC., solely on behalf of its series Hartford Long/Short Global Equity Fund (the “Counterparty”) and HARTFORD FUNDS MANAGEMENT COMPANY, LLC, in its capacity as investment manager of Counterparty, and in its individual capacity solely with respect to Section 3(B) (the “Manager”), hereby enter into this Prime Broker Margin Account Agreement (this “Agreement”), dated as of the date specified on the signature page. “DB Entities” as used in this Agreement means DBSI along with DEUTSCHE BANK AG, NEW YORK BRANCH (“DBNY”), DEUTSCHE BANK AG, ACTING THROUGH ITS LONDON BRANCH (“DBL”), Deutsche Bank AG (“DBAG”) (including any branch thereof), and any of the current and future subsidiaries, parents, affiliates, and divisions of the foregoing entities, either collectively or individually, as the context requires.
AMENDED AND RESTATED FUND ACCOUNTING AGREEMENTFund Accounting Agreement • August 29th, 2014 • Hartford Mutual Funds Inc/Ct • Delaware
THIS AMENDED AND RESTATED FUND ACCOUNTING AGREEMENT is made as of this 1st day of January, 2013, as amended and restated on August 27, 2014, by and between Hartford Funds Management Company, LLC (the “Fund Accountant”), a Delaware limited liability company, and each of The Hartford Mutual Funds, Inc., The Hartford Mutual Funds II, Inc., Hartford Series Fund, Inc., and Hartford HLS Series Fund II, Inc., on behalf of their respective series listed on Schedule A, and The Hartford Alternative Strategies Fund (together with the series listed on Schedule A, the “Funds”). This Agreement is intended to take effect as if entered into between each Fund, severally, and the Fund Accountant and the provisions of this Agreement shall be construed accordingly.
TRANSFER AGENCY FEE WAIVER AGREEMENTTransfer Agency Fee Waiver Agreement • August 29th, 2014 • Hartford Mutual Funds Inc/Ct
THIS AGREEMENT, dated as of August 27, 2014, between The Hartford Mutual Funds, Inc. (the “Company”) on behalf of Hartford Long/Short Global Equity Fund, each a series of the Company (together, the “Funds”), and Hartford Administrative Services Company (the “Transfer Agent”).
AMENDMENT NUMBER 4 TO PRINCIPAL UNDERWRITING AGREEMENTPrincipal Underwriting Agreement • August 29th, 2014 • Hartford Mutual Funds Inc/Ct
The Principal Underwriting Agreement amongst Hartford Funds Distributors, LLC (formerly known as Hartford Investment Financial Services, LLC), The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc. dated January 1, 2013, as amended and restated August 7, 2013, is hereby amended to amend and restate Schedule A as attached hereto.
AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • August 29th, 2014 • Hartford Mutual Funds Inc/Ct
THIS AMENDED AND RESTATED EXPENSE LIMITATION AGREEMENT, dated as of April 30, 2014, amended as of August 27, 2014, between The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc. (each a “Company” and collectively, the “Companies”) on behalf of each series of the Companies (each a “Fund” and collectively, the “Funds”) and Hartford Funds Management Company, LLC (the “Adviser”).
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • August 29th, 2014 • Hartford Mutual Funds Inc/Ct • Connecticut
This Agreement is made by and between Hartford Funds Management Company, LLC a Delaware limited liability company (the “Adviser”), and The Hartford Mutual Funds, Inc. a corporation organized under the laws of the State of Maryland (the “Company”), on its own behalf and on behalf of each of its series listed on Schedule A hereto, as it may be amended from time to time (each, a “Portfolio” and, collectively, the “Portfolios”).
