INVESTMENT SUB-ADVISORY AGREEMENTInvestment Sub-Advisory Agreement • February 23rd, 2023 • 1290 Funds • New York
INVESTMENT SUB-ADVISORY AGREEMENT, dated as of January 1, 2023, by and between Equitable Investment Management, LLC, a limited liability company organized in the State of Delaware (“Adviser”), and AXA Investment Managers US Inc., a corporation organized in the State of Delaware (“Sub-Adviser”).
1290 FUNDS MUTUAL FUNDS SERVICE AGREEMENT TRUST ADMINISTRATION AND COMPLIANCE SERVICES TRUST ACCOUNTING SERVICES EQUITABLE INVESTMENT MANAGEMENT, LLC JANUARY 1, 2023Mutual Funds Service Agreement • February 23rd, 2023 • 1290 Funds • New York
AGREEMENT made as of January 1, 2023 by and among 1290 Funds, a Delaware statutory trust (the “Trust”), Equitable Investment Management, LLC (“Administrator”), a limited liability company organized in the State of Delaware, Equitable Financial Investment Management, LLC (formerly, Equitable Investment Management, LLC) (“EFIM”), a limited liability company organized in the State of Delaware, and Equitable Investment Management Group, LLC (“EIMG”), a limited liability company organized in the State of Delaware.
INVESTMENT ADVISORY AGREEMENTInvestment Advisory Agreement • February 23rd, 2023 • 1290 Funds • Delaware
INVESTMENT ADVISORY AGREEMENT (“AGREEMENT”), dated as of January 1, 2023 between 1290 Funds, a Delaware statutory trust (“Trust”), and Equitable Investment Management, LLC, a limited liability company organized in the State of Delaware (“Adviser”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and The Bank of New York Mellon (“BNY Mellon”), solely in its capacity as Trustee and on behalf of the SPDR S&P MidCap 400 ETF Trust.
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
THIS AGREEMENT, dated as of January 1, 2023, is made between EQ Advisors Trust, on behalf of itself and its separate series listed on Schedule A, severally and not jointly (each, an “Investing Fund”), and the 1290 Funds, on behalf of itself and its separate series also listed on Schedule A, severally and not jointly (each, an “Acquired Fund” and, together with the Investing Funds, the “Funds”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust, 1290 Funds, BlackRock ETF Trust, BlackRock ETF Trust II, iShares Trust, iShares, Inc. and iShares U.S. ETF Trust (“Registrants”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 28, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), by and between EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and ProShares Trust (“ProShares”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), between 1290 Funds and EQ Advisors Trust (“EQ Trusts”) and AB Cap Fund, Inc. (“AB Cap”).
LITMAN GREGORY FUNDS TRUST FUND OF FUNDS INVESTMENT AGREEMENT RULE 12d1-4Investment Agreement • February 23rd, 2023 • 1290 Funds
This Agreement, dated as of February 8, 2023, among EQ Advisors Trust and 1290 Funds on behalf of each of their respective existing and future series that invests in an Acquired Fund in reliance on the Rule as such terms are defined below, severally and not jointly, (each, an “Acquiring Fund”), and each investment company registered under the Investment Company Act of 1940, as amended (the “1940 Act”), each a series of the Litman Gregory Funds Trust (the “Trust” and, together with EQ Advisors Trust and 1290 Funds, the “Parties”), severally and not jointly (each, an “Acquired Fund” and together with each Acquiring Fund, the “Funds”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and WisdomTree Trust.
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and The Select Sector SPDR Trust (“SPDR Trust”).
AMENDMENT NO. 5 SECURITIES LENDING AGREEMENTSecurities Lending Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 5, dated as of November 17, 2022 (“Amendment No. 5”), to the Securities Lending Agreement dated as of April 11, 2016 (“Agreement”), by and between JPMorgan Chase Bank, National Association (“J.P. Morgan”) and each Equitable investment company identified in Annex A hereto (“Lender”).
RULE 12d1-4 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
THIS FUND OF FUNDS INVESTMENT AGREEMENT (the “Agreement”), dated as of January 19, 2022 (“Effective Date”), is made among EQ ADVISORS TRUST and 1290 FUNDS, on behalf of each of their series listed in Schedule A (each, an “Acquiring Fund”) and The Bank of New York Mellon, solely in its capacity as Trustee and on behalf of the SPDR S&P MidCap 400 ETF Trust (the “Acquired Fund” and together with the Acquiring Funds, the “Funds”).
EXPENSE LIMITATION AGREEMENTExpense Limitation Agreement • February 23rd, 2023 • 1290 Funds
EXPENSE LIMITATION AGREEMENT, effective as of January 1, 2023 by and between Equitable Investment Management, LLC (“EIM”) and 1290 Funds (the “Trust”), on behalf of each series of the Trust set forth in Schedule A attached hereto (each, a “Fund,” and collectively, the “Funds”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and SPDR Series Trust, SPDR Index Shares Funds and SSGA Active Trust (“SPDR Trusts”).
FORM OF AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Form of Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (each, an “Acquiring Registrant”) and IndexIQ ETF Trust (the “Acquired Registrant”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds, on behalf of each of their series listed in Schedule A (“each, an “Acquiring Fund””) and Invesco Exchange-Traded Fund Trust, Invesco Exchange-Traded Fund Trust II, Invesco India Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Fund Trust, Invesco Actively Managed Exchange-Traded Commodity Fund Trust and Invesco Exchange-Traded Self-Indexed Fund Trust, on behalf of each of their series (except such series listed on Schedule B, as may be amended from time to time) severally and not jointly (each an “Acquired Fund” and together with the “Acquiring Funds”, the “Funds”,”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and SPDR S&P 500 ETF Trust and SPDR Dow Jones Industrial Average ETF Trust (“SPDR Trusts”).
AMENDMENT No. 11 to Transfer Agency and Service Agreement betweenTransfer Agency and Service Agreement • February 23rd, 2023 • 1290 Funds
This Amendment is entered into as of this 1st day of January, 2023, between DST Asset Manager Solutions, Inc. (the “Transfer Agent”) and Each of the Entities, Individually and not Jointly, as listed on Schedule A (collectively, the “Funds” and individually, the “Fund”).
AMENDMENT NO. 1 FUND OF FUNDS INVESTMENT AGREEMENTFund of Funds Investment Agreement • February 23rd, 2023 • 1290 Funds
Amendment No. 1, dated October 18, 2022 (“Amendment No. 1”), to the Fund of Funds Investment Agreement, dated as of January 19, 2022 (“Agreement”), among EQ Advisors Trust and 1290 Funds (“EQ Trusts”) and the J.P. Morgan Exchange-Traded Fund Trust (“JPM Trust”).
