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Document/Exhibit Description Pages Size
1: 485BPOS Post-Effective Amendment of a Form N-1 or N-1A HTML 8.11M
Registration
2: EX-99.(D)(1) Advisory Agreement HTML 55K
3: EX-99.(D)(2) Axa Im Agreement HTML 78K
4: EX-99.(D)(3) Axa Rosenberg Agreement HTML 77K
5: EX-99.(D)(4) Gamco Agreement HTML 75K
6: EX-99.(D)(5) Palisade Agreement HTML 76K
7: EX-99.(D)(6) Doubleline Agreement HTML 79K
8: EX-99.(D)(7) Brandywine Agreement HTML 76K
9: EX-99.(H)(1)(VII) Amendment No. 7 to the Mutual Funds Service HTML 12K
Agreement
10: EX-99.(H)(2) Expense Limitation Agreement HTML 27K
11: EX-99.(H)(4)(VI) Amendment No. 6 to Transfer Agency and HTML 21K
Service Agreement
12: EX-99.(I) Opinion of K&L Gates HTML 14K
13: EX-99.(J)(1) Consent of Independent Registered Public HTML 8K
Accounting Firm
14: EX-99.(N)(3) Rule 18F-3 Plan HTML 21K
15: EX-99.POA Powers of Attorney HTML 42K
| AMENDMENT No. 6 To Transfer Agency and Service Agreement |
Exhibit (h)(4)(vi)
AMENDMENT No. 6
To
Transfer Agency and Service Agreement
between the
Each of the Entities, Individually and not Jointly, as Listed on Schedule A
and
DST Asset Manager Solutions, Inc.
This Amendment is entered into as of this 24th day of January,2019, between DST Asset Manager Solutions, Inc. (formerly Boston Financial Data Services, 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”).
WHEREAS, the 1290 Funds, on behalf of each of its series as reflected on Schedule A (the “1290 Funds”), and the Transfer Agent are parties to a Transfer Agency and Service Agreement dated October 29, 2014, as amended (the “Agreement”);
WHEREAS, the EQ Advisors Trust, on behalf of each of its series listed on Schedule A (the “EQAT Funds”) wishes to appoint the Transfer Agent to provide services to the EQAT Funds under the Agreement on the terms set forth therein, except as modified hereby; and the Transfer Agent desires to provide such services in accordance with such terms; and
WHEREAS, in accordance with Section 16.l (Amendment) and Section 17 (Additional Portfolios/Funds) of the Agreement, the parties desire to amend the Agreement to reflect the foregoing.
NOW THEREFORE, for good and valuable consideration, the sufficiency of which is hereby acknowledged, and in consideration of the mutual covenants of the parties herein contained, the parties acknowledge and agree as follows:
| 1. | Parties. The 1290 Funds, the Transfer Agent and the EQAT Funds do hereby agree that as of the date hereof, the EQAT Funds set forth on the Schedule A attached hereto, shall each be added as a party to the Agreement. All references in the Agreement and in any exhibits or schedules thereto to “Fund” or “Funds” shall be deemed from this point forward to include the 1290 Funds and the EQAT Funds. |
| 2. | Schedule A. The current Schedule A to the Agreement is hereby replaced and superseded with the Schedule A attached hereto, effective as of January 24, 2019; and |
| 3. | Fee Schedule. Schedule 3.1 to the Agreement is hereby revised with respect to the EQAT Funds as set forth on Appendix 1 attached hereto effective as of January 24, 2019. |
| 4. | All defined terms and definitions in the Agreement shall be the same in this Amendment except as specifically revised by this Amendment. |
| 5. | Except as specifically set forth in this Amendment, all other terms and conditions of the Agreement shall remain in full force and effect. |
| 6. | This Amendment may be executed in separate counterparts, each of which will be deemed to be an original and all of which, collectively, will be deemed to constitute one and the same Amendment. |
1290 & EQAT Funds
| 7. | Each party hereby represents and warrants to the other that the person or entity signing this Amendment on behalf of such party is duly authorized to execute and deliver this Amendment and to legally bind the party on whose behalf this Amendment is signed to all of the terms, covenants and conditions contained in this Amendment. |
| 8. | This Amendment shall be construed according to and governed by the laws of the Commonwealth of Massachusetts. |
IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed by a duly authorized officer as of the date and year first above written.
| 1290 FUNDS, ON BEHALF OF EACH OF ITS SERIES, INDIVIDUALLY AND NOT JOINTLY, AS LISTED ON SCHEDULE A, ATTACHED HERETO | DST ASSET MANAGER SOLUTIONS, INC. | |||
| By: /s/ Brian Walsh | By: /s/ Rahul Kanwar | |||
| Name: Brian Walsh | Name: Rahul Kanwar | |||
| Title: Chief Financial Officer and Treasurer As an Authorized Officer on behalf of each of its |
Title: Authorized Representative | |||
| Series indicated on Schedule A | ||||
| EQ ADVISORS TRUST, ON BEHALF OF EACH OF ITS SERIES, INDIVIDUALLY AND NOT JOINTLY, AS LISTED ON SCHEDULE A, ATTACHED HERETO | ||||
| By: /s/ Brian Walsh | ||||
| Name: Brian Walsh | ||||
| Title: Chief Financial Officer and Treasurer | ||||
| As an Authorized Officer on behalf of each of its Series indicated on Schedule A | ||||
1290 & EQAT Funds
SCHEDULE A
| Fund | Type of Entity | Jurisdiction | ||||||||
| 1290 Funds | Statutory Trust | Delaware | ||||||||
| 1290 Convertible Securities Fund 1290 DoubleLine Dynamic Allocation
1290 GAMCO Small/Mid Cap Value Fund 1290 Global Talents Fund 1290 High Yield Bond Fund 1290 Low Volatility Global Equity Fund 1290 Multi-Alternative Strategies 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 1290 SmartBeta Equity Fund 1290 Diversified Bond Fund |
||||||||||
| EQ Advisors Trust | Statutory Trust | Delaware | ||||||||
| 1290 VT Convertible Securities Portfolio, Class IB 1290 VT GAMCO Small Company Value Portfolio, Class IB 1290 VT Micro Cap Portfolio, Class IB 1290 VT SmartBeta Equity Portfolio, Class IB 1290 VT Socially Responsible Portfolio, Class IB |
||||||||||
1290 & EQAT Funds
Appendix 1
To
Schedule 3.1
Schedule 3.1 to the Agreement is hereby amended to add the following notes:
The EQAT Funds, which consist of the series as set forth on Schedule A dated January 14, 2019, are subject to a one time set up fee of $750.00 per Portfolio and to an annual graduated CUSIP fee as follows:
| Year of the Agreement |
Fee Charged | |
| Year 1 |
$3,000 per CUSIP | |
| Year 2 |
$5,000 per CUSIP | |
| Year 3 |
$7,000 per CUSIP | |
| Years 4 and 5 |
$10,000 per CUSIP |
1290 & EQAT Funds
| This ‘485BPOS’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Effective on: | 3/1/20 | None on these Dates | ||
| Filed on: | 2/26/20 | |||
| 1/24/19 | ||||
| 1/14/19 | ||||
| 10/29/14 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/22/24 1290 Funds 485BPOS 3/01/24 48:93M Donnelley … Solutions/FA 2/07/24 1290 Funds 485BXT 2:416K Donnelley … Solutions/FA 12/11/23 1290 Funds 485APOS 53:44M Donnelley … Solutions/FA 2/23/23 1290 Funds 485BPOS 3/01/23 58:95M Donnelley … Solutions/FA 2/01/23 1290 Funds 485BXT 1:270K Donnelley … Solutions/FA 12/12/22 1290 Funds 485APOS 15:14M Donnelley … Solutions/FA 7/08/22 1290 Funds 485BPOS 7/11/22 27:22M Donnelley … Solutions/FA 4/25/22 1290 Funds 485APOS 6:13M Donnelley … Solutions/FA 2/24/22 1290 Funds 485BPOS 3/01/22 52:57M Donnelley … Solutions/FA 2/25/21 1290 Funds 485BPOS 3/01/21 149:49M Donnelley … Solutions/FA |