AMENDMENT TO AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT
Exhibit h 1 a xvi
AMENDMENT
TO
AMENDED AND RESTATED
TRANSFER AGENCY AND SERVICE AGREEMENT
This Amendment to the Amended and Restated Transfer Agency and Service Agreement (“Amendment”) is effective as of the 28the day of February, 2018, by and among The MainStay Funds, a Massachusetts business trust, and MainStay VP Funds Trust and MainStay Funds Trust, each a Delaware statutory trust (each, a “Fund” and collectively, the “Funds”) and NYLIM Service Company LLC, a Delaware limited liability company, having its principal office and place of business at 00 Xxxxxx Xxxxxx, Xxxxxx Xxxx, Xxx Xxxxxx 00000 (“NSC”).
WHEREAS, the Funds and NSC are parties to an Amended and Restated Transfer Agency and Service Agreement, dated October 1, 2008, as amended (“Agreement”); and
WHEREAS, pursuant to Article 2.01 and Article 11 of the Agreement, the parties hereby wish to amend the Agreement to (i) remove the MainStay Epoch International Small Cap Fund; and (ii) change the names of the MainStay VP Convertible Portfolio and certain Funds as follows:
| Fund name | New Fund name, if applicable | Date of change |
| MainStay California Tax Free Opportunities Fund | MainStay MacKay California Tax Free Opportunities Fund | February 28, 2018 |
| MainStay Common Stock Fund | MainStay MacKay Common Stock Fund | February 28, 2018 |
| MainStay Convertible Fund | MainStay MacKay Convertible Fund | February 28, 2018 |
| MainStay Cornerstone Growth Fund | MainStay MacKay Growth Fund | February 28, 2018 |
| MainStay DefinedTerm Municipal Opportunities Fund | MainStay MacKay DefinedTerm Municipal Opportunities Fund | February 28, 2018 |
| MainStay Emerging Markets Debt Fund | MainStay MacKay Emerging Markets Debt Fund | February 28, 2018 |
| MainStay Emerging Markets Equity Fund | MainStay MacKay Emerging Markets Equity Fund | February 28, 2018 |
| MainStay Government Fund | MainStay MacKay Government Fund | February 28, 2018 |
| MainStay High Yield Corporate Bond Fund | MainStay MacKay High Yield Corporate Bond Fund | February 28, 2018 |
| MainStay High Yield Municipal Bond Fund | MainStay MacKay High Yield Municipal Bond Fund | February 28, 2018 |
| MainStay International Equity Fund | MainStay MacKay Interntional Equity Fund | February 28, 2018 |
| Fund name | New Fund name, if applicable | Date of change |
| MainStay International Opportunities Fund | MainStay MacKay International Opportunities Fund | February 28, 2018 |
| MainStay New York Tax Free Opportunities Fund | MainStay MacKay New York Tax Free Opportunities Fund | February 28, 2018 |
| MainStay S&P 500 Index Fund | MainStay MacKay S&P 500 Index Fund | February 28, 2018 |
| MainStay Short Duration High Yield Fund | MainStay MacKay Short Duration High Yield Fund | February 28, 2018 |
| MainStay Tax Advantaged Short Term Bond Fund | MainStay MacKay Tax Advantaged Short Term Bond Fund | February 28, 2018 |
| MainStay Tax Free Bond Fund | MainStay MacKay Tax Free Bond Fund | February 28, 2018 |
| MainStay Total Return Bond Fund | MainStay MacKay Total Return Bond Fund | February 28, 2018 |
| MainStay Unconstrained Bond Fund | MainStay MacKay Unconstrained Bond Fund | February 28, 2018 |
| MainStay U.S. Equity Opportunities Fund | MainStay MacKay U.S. Equity Opportunities Fund | February 28, 2018 |
| MainStay VP Convertible Portfolio1 | MainStay XX XxxXxx Convertible Portfolio | May 1, 2018 |
NOW, THEREFORE, in consideration of the mutual covenants contained in the Agreement and other good and valuable consideration, the receipt of which is hereby acknowledged, the parties agree as follows:
| 1. | Schedule A of the Agreement is hereby deleted in its entirety and replaced with the Schedule A attached hereto. |
| 2 |
IN WITNESS HEREOF, the parties hereto have caused this Amendment to be executed by their duly authorized officers.
THE MAINSTAY FUNDS
By: /s/ Xxxx X. Xxxxxxxxxx
Name: Xxxx X. Xxxxxxxxxx
Title: Treasurer
and Principal Financial and
Accounting Officer
By: /s/ Xxxx X. Xxxxxxxxxx
Name: Xxxx X. Xxxxxxxxxx
Title: Treasurer
and Principal Financial and
Accounting Officer
MAINSTAY VP FUNDS TRUST
By: /s/ Xxxx X. Xxxxxxxxxx
Name: Xxxx X. Xxxxxxxxxx
Title: Treasurer
and Principal Financial and
Accounting Officer
NYLIM SERVICE COMPANY LLC
By: /s/ Xxxx X. Xxxxxxxxxx
Name: Xxxx X. Xxxxxxxxxx
Title: President
| 3 |
SCHEDULE A
Effective Date: February
28, 2018
(unless otherwise indicated)
|
The MainStay Funds MainStay Income Builder Fund MainStay Large Cap Growth Fund MainStay MacKay Common Stock Fund MainStay MacKay Convertible Fund MainStay MacKay Emerging Markets Debt Fund MainStay MacKay Government Fund MainStay MacKay High Yield Corporate Bond Fund MainStay MacKay International Equity Fund MainStay MacKay Unconstrained Bond Fund MainStay MAP Equity Fund MainStay Money Market Fund
MainStay VP Funds Trust MainStay XX XxxXxx Convertible Portfolio – Service Class1 MainStay XX XxxXxx Convertible Portfolio – Service 2 Class1
1 Name change takes effect May 1, 2018.
|
MainStay Absolute Return Multi-Strategy Fund MainStay Balanced Fund MainStay Candriam Emerging Markets Equity Fund MainStay Conservative Allocation Fund MainStay Xxxxxxx MLP Premier Fund MainStay Xxxxxxx Renaissance Advantage Fund MainStay Xxxxxxx Energy Income Fund MainStay Epoch Capital Growth Fund MainStay Epoch Global Choice Fund MainStay Epoch Global Equity Yield Fund MainStay Epoch International Choice Fund MainStay Epoch U.S. All Cap Fund MainStay Epoch U.S. Equity Yield Fund MainStay Epoch U.S. Small Cap Fund MainStay Floating Rate Fund MainStay Growth Allocation Fund MainStay MacKay California Tax Free Opportunities Fund MainStay MacKay Growth Fund MainStay MacKay High Yield Municipal Bond Fund MainStay MacKay International Opportunities Fund MainStay MacKay S&P 500 Index Fund MainStay MacKay Short Duration High Yield Fund MainStay MacKay Total Return Bond Fund MainStay MacKay Tax Advantaged Short Term Bond Fund MainStay MacKay U.S. Equity Opportunities Fund MainStay Moderate Allocation Fund MainStay Moderate Growth Allocation Fund MainStay Retirement 2010 Fund MainStay Retirement 2020 Fund MainStay Retirement 2030 Fund MainStay Retirement 2040 Fund MainStay Retirement 2050 Fund MainStay Retirement 2060 Fund
|
| 4 |
