AMENDMENT NO. 3 FUND OF FUNDS INVESTMENT AGREEMENT
Exhibit (h)(20)(iv)
AMENDMENT NO. 3
FUND OF FUNDS INVESTMENT AGREEMENT
Amendment No. 3, dated October 13, 2023 (“Amendment No. 3”), 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.
WHEREAS, the EQ Trusts and WisdomTree Trust desire to update the Agreement to change the name of the EQ/X. Xxxx Price Growth Stock Portfolio to EQ/JPMorgan Growth Stock Portfolio, effective July 31, 2023;
NOW THEREFORE, the EQ Trusts and WisdomTree Trust agree to modify and amend the Agreement as follows:
Appendix A. Appendix A to the Agreement, which sets forth the Acquiring Funds, is hereby replaced in its entirety by Appendix A attached hereto.
Except as modified and amended hereby, the Agreement is hereby ratified and confirmed in full force and effect in accordance with its terms.
IN WITNESS WHEREOF, the parties have executed and delivered this Amendment No. 3 as of the date first above set forth.
| 1290 Funds |
WisdomTree Trust | |||||||
| By: | /s/ Xxxxxxx Xxxxxxxxx |
By: | /s/ Xxxxxxxx Xxxxxxxxx | |||||
| Name: Xxxxxxx Xxxxxxxxx Title: Senior Vice President and Chief Investment Officer |
Name: Xxxxxxxx Xxxxxxxxx Title: President | |||||||
APPENDIX A
FUND OF FUNDS INVESTMENT AGREEMENT
Acquiring Funds
1290 VT Convertible Securities Portfolio
1290 VT DoubleLine Opportunistic Bond Portfolio
1290 VT Equity Income Portfolio
1290 VT GAMCO Mergers & Acquisitions Portfolio
1290 VT GAMCO Small Company Value Portfolio
1290 VT High Yield Bond Portfolio
1290 VT Micro Cap Portfolio
1290 VT Moderate Growth Allocation Portfolio
1290 VT Multi-Alternative Strategies Portfolio
1290 VT Natural Resources Portfolio
1290 VT Real Estate Portfolio
1290 VT Small Cap Value Portfolio
1290 VT SmartBeta Equity ESG Portfolio
1290 VT Socially Responsible Portfolio
ATM International Managed Volatility Portfolio
ATM Large Cap Managed Volatility Portfolio
ATM Mid Cap Managed Volatility Portfolio
ATM Small Cap Managed Volatility Portfolio
EQ/2000 Managed Volatility Portfolio
EQ/400 Managed Volatility Portfolio
EQ/500 Managed Volatility Portfolio
EQ/AB Dynamic Aggressive Growth Portfolio
EQ/AB Dynamic Growth Portfolio
EQ/AB Dynamic Moderate Growth Portfolio
EQ/AB Short Duration Government Bond Portfolio
EQ/AB Small Cap Growth Portfolio
EQ/AB Sustainable U.S. Thematic Portfolio
EQ/Aggressive Growth Strategy Portfolio
EQ/All Asset Growth Allocation Portfolio
EQ/American Century Mid Cap Value Portfolio
EQ/American Century Moderate Growth Allocation Portfolio
EQ/Balanced Strategy Portfolio
EQ/Capital Group Research Portfolio
EQ/ClearBridge Large Cap Growth ESG Portfolio
EQ/ClearBridge Select Equity Managed Volatility Portfolio
EQ/Common Stock Index Portfolio
EQ/Conservative Growth Strategy Portfolio
EQ/Conservative Strategy Portfolio
EQ/Core Bond Index Portfolio
EQ/Emerging Markets Equity PLUS Portfolio
EQ/Equity 500 Index Portfolio
EQ/Fidelity Institutional AM® Large Cap Portfolio
EQ/Franklin Moderate Allocation Portfolio
EQ/Franklin Rising Dividends Portfolio
EQ/Franklin Small Cap Value Managed Volatility Portfolio
EQ/Global Equity Managed Volatility Portfolio
EQ/Xxxxxxx Xxxxx Growth Allocation Portfolio
EQ/Xxxxxxx Xxxxx Mid Cap Value Portfolio
EQ/Xxxxxxx Xxxxx Moderate Growth Allocation Portfolio
EQ/Growth Strategy Portfolio
EQ/Intermediate Corporate Bond Portfolio
EQ/Intermediate Government Bond Portfolio
EQ/International Core Managed Volatility Portfolio
EQ/International Equity Index Portfolio
EQ/International Managed Volatility Portfolio
EQ/International Value Managed Volatility Portfolio
EQ/Invesco Xxxxxxxx Portfolio
EQ/Invesco Global Portfolio
EQ/Invesco Global Real Assets Portfolio
EQ/Invesco Moderate Allocation Portfolio
EQ/Invesco Moderate Growth Allocation Portfolio
EQ/Janus Enterprise Portfolio
EQ/JPMorgan Growth Allocation Portfolio
EQ/JPMorgan Growth Stock Portfolio
(formerly, EQ/X. Xxxx Price Growth Stock Portfolio)
EQ/JPMorgan Value Opportunities Portfolio
EQ/Large Cap Core Managed Volatility Portfolio
EQ/Large Cap Growth Index Portfolio
EQ/Large Cap Growth Managed Volatility Portfolio
EQ/Large Cap Value Index Portfolio
EQ/Large Cap Value Managed Volatility Portfolio
EQ/Lazard Emerging Markets Equity Portfolio
EQ/Long-Term Bond Portfolio
EQ/Xxxxxx Xxxxxx Growth Portfolio
EQ/MFS International Growth Portfolio
EQ/MFS International Intrinsic Value Portfolio
EQ/MFS Mid Cap Focused Growth Portfolio
EQ/MFS Technology Portfolio
EQ/MFS Utilities Series Portfolio
EQ/Mid Cap Index Portfolio
EQ/Mid Cap Value Managed Volatility Portfolio
EQ/Moderate Growth Strategy Portfolio
EQ/Money Market Portfolio
EQ/Xxxxxx Xxxxxxx Small Cap Growth Portfolio
EQ/PIMCO Global Real Return Portfolio
EQ/PIMCO Real Return Portfolio
EQ/PIMCO Total Return ESG Portfolio
EQ/PIMCO Ultra Short Bond Portfolio
EQ/Quality Bond PLUS Portfolio
EQ/Small Company Index Portfolio
EQ/X. Xxxx Price Health Sciences Portfolio
EQ/Ultra Conservative Strategy Portfolio
EQ/Value Equity Portfolio
EQ/Wellington Energy Portfolio
Equitable Conservative Growth MF/ETF Portfolio
Equitable Growth MF/ETF Portfolio
Equitable Moderate Growth MF/ETF Portfolio
Multimanager Aggressive Equity Portfolio
Multimanager Core Bond Portfolio
Multimanager Technology Portfolio
1290 FUNDS
1290 Diversified Bond Fund
1290 Essex Small Cap Growth Fund
1290 GAMCO Small/Mid Cap Value Fund
1290 High Yield Bond Fund
1290 Xxxxxx Xxxxxx Multi-Asset Income Fund
1290 Multi-Alternative Strategies Fund
1290 SmartBeta Equity Fund
1290 Retirement 2020 Fund
1290 Retirement 2025 Fund
1290 Retirement 2030 Fund
1290 Retirement 2035 Fund
1290 Retirement 2040 Fund
1290 Retirement 2045 Fund
1290 Retirement 2050 Fund
1290 Retirement 2055 Fund
1290 Retirement 2060 Fund
Acquired Funds
WisdomTree ETFs
12(d) Exemptive Relief Eligibility
DOMESTIC EQUITY ETFs
| CORE |
| |||||
| Large Cap |
Ticker |
Exp. Ratio % | ||||
| U.S. LargeCap |
EPS | 0.08 | ||||
| U.S. Quality Dividend Growth |
DGRW | 0.28 | ||||
| U.S. Multifactor |
USMF | 0.28 | ||||
| Mid & Small Cap |
Ticker |
Exp. Ratio % | ||||
| U.S. MidCap |
EZM | 0.38 | ||||
| U.S. SmallCap |
EES | 0.38 | ||||
| U.S. SmallCap Quality Dividend Growth |
DGRS | 0.38 | ||||
| VALUE |
| |||||
| Large Cap |
Ticker |
Exp. Ratio % | ||||
| U.S. LargeCap Dividend |
DLN | 0.28 | ||||
| U.S. Total Dividend |
DTD | 0.28 | ||||
| U.S. High Dividend |
DHS | 0.38 | ||||
| U.S. AI Enhanced Value |
AIVL | 0.38 | ||||
| U.S. Value |
WTV | 0.12 | ||||
| Mid & Small Cap |
Ticker |
Exp. Ratio % | ||||
| U.S. MidCap Dividend |
DON | 0.38 | ||||
| U.S. SmallCap Dividend |
DES | 0.38 | ||||
| GROWTH |
||||||
| Large Cap |
Ticker |
Exp. Ratio % | ||||
| Growth Leaders |
PLAT | 0.20 | ||||
| U.S. Growth & Momentum |
WGRO | 0.55 | ||||
| U.S. Quality Growth |
QGRW | 0.28 | ||||
| EMERGING MARKETS EQUITY ETFs |
| |||||
| Emerging Markets |
Ticker |
Exp. Ratio % | ||||
| Emerging Markets High Dividend |
DEM | 0.63 | ||||
| Emerging Markets Quality Dividend Growth |
DGRE | 0.32 | ||||
| Emerging Markets Multifactor |
EMMF | 0.48 | ||||
| Emerging Markets SmallCap Dividend |
DGS | 0.58 | ||||
| Emerging Markets ex-China |
XC | 0.32 | ||||
| Regional/Single Country |
Ticker |
Exp. Ratio % | ||||
| India Earnings |
EPI | 0.84 | ||||
| INTERNATIONAL EQUTIY ETFs |
| |||||
| International |
Ticker |
Exp. Ratio % | ||||
| International Equity |
DWM | 0.48 | ||||
| International Multifactor |
DWMF | 0.38 | ||||
| Dynamic Currency Hedged International Equity |
DDWM | 0.40 | ||||
| International LargeCap Dividend |
DOL | 0.48 | ||||
| International AI Enhanced Value |
AIVI | 0.58 | ||||
| International High Dividend |
DTH | 0.58 | ||||
| International Hedged Quality Dividend Growth |
IHDG | 0.58 | ||||
| International Quality Dividend Growth |
IQDG | 0.42 | ||||
| International Mid & Small Cap |
Ticker |
Exp. Ratio % | ||||
| International SmallCap Dividend |
DLS | 0.58 | ||||
| Dynamic Currency Hedged International SmallCap Equity |
DDLS | 0.48 | ||||
| International MidCap Dividend |
DIM | 0.58 | ||||
| Global |
Ticker |
Exp. Ratio % | ||||
| Global ex-U.S. Quality Dividend Growth |
DNL | 0.42 | ||||
| Global High Dividend |
DEW | 0.58 | ||||
| Global ex-U.S. Real Estate |
DRW | 0.58 | ||||
| Regional/Single Country |
Ticker |
Exp. Ratio % | ||||
| Japan Hedged Equity |
DXJ | 0.48 | ||||
| Europe Hedged Equity |
HEDJ | 0.58 | ||||
| Europe Quality Dividend Growth |
EUDG | 0.58 | ||||
| Germany Hedged Equity |
DXGE | 0.48 | ||||
| Regional/Single Country Small Cap |
Ticker |
Exp. Ratio % | ||||
| Japan SmallCap Dividend |
DFJ | 0.58 | ||||
| Japan Hedged SmallCap Equity |
DXJS | 0.58 | ||||
| Europe SmallCap Dividend |
DFE | 0.58 | ||||
| Europe Hedged SmallCap Equity |
EUSC | 0.58 | ||||
| ESG ETFs | ||||||
| Ticker |
Exp. Ratio % | |||||
| U.S. ESG |
RESP | 0.28 | ||||
| Emerging Markets ESG |
RESE | 0.32 | ||||
| International ESG |
RESD | 0.30 | ||||
| Emerging Markets ex-State-Owned Enterprises |
XSOE | 0.32 | ||||
| China ex-State-Owned Enterprises |
CXSE | 0.32 | ||||
| India ex-State-Owned Enterprises |
IXSE | 0.58 | ||||
| FIXED INCOME ETFs | ||||||
| Strategic Core |
Ticker |
Exp. Ratio % | ||||
| Yield Enhanced U.S. Aggregate Bond |
AGGY | 0.12 | ||||
| Yield Enhanced U.S. Short-Term Aggregate Bond |
SHAG | 0.12 | ||||
| Mortgage Plus Bond |
MTGP | 0.45 | ||||
| Short Term Government |
Ticker |
Exp. Ratio % | ||||
| Floating Rate Treasury |
USFR | 0.15 | ||||
| Interest Rate Strategies |
Ticker |
Exp. Ratio % | ||||
| Interest Rate Hedged U.S. Aggregate Bond |
AGZD | 0.23 | ||||
| Interest Rate Hedged High Yield Bond |
HYZD | 0.43 | ||||
| Credit |
Ticker |
Exp. Ratio % | ||||
| U.S. Corporate Bond |
WFIG | 0.18 | ||||
| U.S. Short-Term Corporate Bond |
SFIG | 0.18 | ||||
| U.S. High Yield Corporate Bond |
WFHY | 0.18 | ||||
| Voya Yield Enhanced USD Universal Bond |
UNIY | 0.15 | ||||
| Emerging Markets |
Ticker |
Exp. Ratio % | ||||
| Emerging Markets Local Debt |
ELD | 0.55 | ||||
| Emerging Markets Corporate Bond |
EMCB | 0.60 | ||||
| Currency Strategies |
Ticker | Exp. Ratio % | ||||
| Emerging Currency Strategy |
CEW | 0.55 | ||||
| Bloomberg U.S. Dollar Bullish |
USDU | 0.51 | ||||
| Chinese Yuan Strategy |
CYB | 0.45 | ||||
| ALTERNATIVE ETFs |
| |||||
| Managed Futures |
Ticker | Exp. Ratio % | ||||
| Managed Futures Strategy |
WTMF | 0.65 | ||||
| Option-Based |
Ticker | Exp. Ratio % | ||||
| PutWrite Strategy |
PUTW | 0.44 | ||||
| Commodity |
Ticker | Exp. Ratio % | ||||
| Enhanced Commodity Strategy |
GCC | 0.55 | ||||
| Target Range |
Ticker | Exp. Ratio % | ||||
| Target Range |
GTR | 0.70 | ||||
| CAPITAL EFFICIENT ETFs |
| |||||
| Core |
Ticker | Exp. Ratio % | ||||
| U.S. Efficient Core |
NTSX | 0.20 | ||||
| International Efficient Core |
NTSI | 0.26 | ||||
| Emerging Markets Efficient Core |
NTSE | 0.38 | ||||
| Efficient Gold Plus Equity Strategy |
GDE | 0.20 | ||||
| Tactical |
Ticker | Exp. Ratio % | ||||
| Efficient Gold Plus Gold Miners Strategy |
GMDN | 0.45 | ||||
| MEGATRENDS |
| |||||
| Ticker | Exp. Ratio % | |||||
| Cloud Computing |
WCLD | 0.45 | ||||
| Cybersecurity |
WCBR | 0.45 | ||||
| BioRevolution |
WDNA | 0.45 | ||||
| Artificial Intelligence and Innovation |
WTAI | 0.45 | ||||
| Battery Value Chain and Innovation |
WBAT | 0.45 | ||||
