EX-99.6.(I).B.(II) 4 d216579dex996ibii.htm FORM OF AMENDMENT NUMBER 2 TO THE INVESTMENT MANAGEMENT AGREEMENT Form of Amendment Number 2 to the Investment Management Agreement

FORM OF AMENDMENT NUMBER 2

TO THE

INVESTMENT MANAGEMENT AGREEMENT

This AMENDMENT NUMBER 2 (the “Amendment”), amends that certain INVESTMENT MANAGEMENT AGREEMENT, by and between Hartford Funds Management Company, LLC (the “Adviser”), The Hartford Mutual Funds, Inc. (“HMF”), and The Hartford Mutual Funds II, Inc. (“HMF II”), on their own behalf and on behalf of each series listed on Schedule A hereto (each a “Fund”), dated February 29, 2016, with respect to HMF, and dated March 14, 2016, with respect to HMF II (the “Agreement”), and is effective as of [        ] [    ], 2021 (the “Effective Date”).

WHEREAS, the Adviser, HMF and HMF II desire to amend Schedule A and Schedule B to reflect adding a new Fund, Hartford Schroders Sustainable Core Bond Fund, as described herein and approved by the Board of Directors (the “Board”) at its meeting held on June 16, 2021;

NOW, THEREFORE, the parties to the Agreement hereby agree as follows:

 

  1.

Pursuant to Section 14 of the Agreement, Schedules A and B are deleted in their entirety and replaced with the attached amended Schedule A and Schedule B to the Agreement.

 

  2.

The changes to Schedules A and B of the Agreement reflected in this Amendment shall become effective as of the respective Effective Date reflected in this Amendment.

 

  3.

Except as amended by this Amendment, the terms of the Agreement remain unchanged and may be further modified only by mutual written agreement of the parties and the approval of the Board.

 

  4.

This Amendment may be executed by the parties hereto on any number of counterparts, and all of such counterparts taken together shall be deemed to constitute one and the same instrument.

[signatures follow on next page]


IN WITNESS WHEREOF, the parties have executed this Amendment as of the date first above written.

 

HARTFORD FUNDS MANAGEMENT COMPANY, LLC

                                                                   

By:      Gregory A. Frost

Title:   Chief Financial Officer

THE HARTFORD MUTUAL FUNDS, INC.

on behalf of each of its series listed on

Schedule A

                                                                   

By:      Thomas R. Phillips

Title:   Vice President and Secretary

THE HARTFORD MUTUAL FUNDS II, INC.

on behalf of each of its series listed on

Schedule A

                                                                   

By:      Thomas R. Phillips

Title:   Vice President and Secretary

 

2


Schedule A

This Schedule A to that certain Investment Management Agreement by and between Hartford Funds Management Company, LLC, The Hartford Mutual Funds, Inc. (“HMF”), and The Harford Mutual Funds II, Inc. (“HMF II”) dated February 29, 2016, with respect to HMF, and dated March 14, 2016, with respect to HMF II, is effective as of [        ] [    ], 2021.

List of Portfolios

 

  THE HARTFORD MUTUAL FUNDS, INC. ON BEHALF OF:

Hartford AARP Balanced Retirement Fund 1

The Hartford Balanced Income Fund 2

The Hartford Capital Appreciation Fund2

The Hartford Checks and Balances Fund2

Hartford Climate Opportunities Fund1

The Hartford Conservative Allocation Fund1

Hartford Core Equity Fund1

The Hartford Dividend and Growth Fund1

Hartford Emerging Markets Equity Fund1

The Hartford Emerging Markets Local Debt Fund1

The Hartford Equity Income Fund2

The Hartford Floating Rate Fund1

The Hartford Global Real Asset Fund1

The Hartford Growth Allocation Fund1

The Hartford High Yield Fund1

The Hartford Inflation Plus Fund1

Hartford International Equity Fund1

The Hartford International Growth Fund2

The Hartford International Opportunities Fund1

The Hartford International Value Fund1

The Hartford MidCap Fund2

The Hartford MidCap Value Fund1

Hartford Moderate Allocation Fund1

Hartford Multi-Asset Income Fund1

Hartford Municipal Short Duration Fund1

The Hartford Short Duration Fund1

 

 

 

1 

Effective March 14, 2016. Approved by shareholders at a shareholder meeting on March 14, 2016.

 

2 

Effective April 19, 2016. Approved by shareholders at a shareholder meeting on April 19, 2016.

 

1 

Effective February 29, 2016. Approved by written consent of the sole initial shareholder on February 29, 2016.


Hartford Small Cap Value Fund1

The Hartford Strategic Income Fund1

Hartford Sustainable Municipal Bond Fund1

The Hartford Total Return Bond Fund1

The Hartford World Bond Fund1

  THE HARTFORD MUTUAL FUNDS II, INC. ON BEHALF OF:

The Hartford Growth Opportunities Fund1

Hartford Quality Value Fund1

Hartford Schroders China A Fund 6

Hartford Schroders Emerging Markets Equity Fund 4

Hartford Schroders Emerging Markets Multi-Sector Bond Fund4

Hartford Schroders International Multi-Cap Value Fund4

Hartford Schroders International Stock Fund4

Hartford Schroders Securitized Income Fund 5

Hartford Schroders Sustainable Core Bond Fund7

Hartford Schroders Tax-Aware Bond Fund4

Hartford Schroders US MidCap Opportunities Fund4

Hartford Schroders US Small Cap Opportunities Fund4

The Hartford Small Cap Growth Fund1

 

 

 

 

4 

Effective October 19, 2016. Approved by written consent of the sole initial shareholder on October 19, 2016.

 

5 

Effective February 28, 2019. Approved by written consent of the sole initial shareholder on February 26, 2019.

 

6 

Effective March 26, 2020. Approved by written consent of the sole initial shareholder on March 26, 2020.

 

7 

Effective [        ] [    ], 2021.

 

4


Schedule B

Fees

This Schedule B to that certain Investment Management Agreement by and between Hartford Funds Management Company, LLC, The Hartford Mutual Funds, Inc. (“HMF”), and The Harford Mutual Funds II, Inc. (“HMF II”) dated February 29, 2016, with respect to HMF, and dated March 14, 2016, with respect to HMF II, is effective as of [        ] [    ], 2021.

As compensation for the services rendered by the Adviser, each Portfolio shall pay to the Adviser as promptly as possible after the last day of each month during the term of this Agreement, a fee accrued daily and paid monthly based upon the following annual rates calculated based on the average daily net asset value of the applicable Portfolio:

THE HARTFORD MUTUAL FUNDS, INC.

Hartford AARP Balanced Retirement Fund

 

Average Daily Net Assets Excluding Assets
Invested in Affiliated Funds#
   Annual Rate  
First $1 billion      0.3900
Next $4 billion      0.3800
Amount Over $5 billion      0.3750
Average Daily Net Assets Invested in Affiliated Funds      0.0000

The Hartford Balanced Income Fund

 

Average Daily Net Assets    Annual Rate  
First $250 million      0.7000
Next $250 million      0.6300
Next $500 million      0.6000
Next $1.5 billion      0.5700
Next $2.5 billion      0.5500
Next $5 billion      0.5300
Next $2 billion      0.4500
Amount Over $12 billion      0.3900

The Hartford Capital Appreciation Fund

 

Average Daily Net Assets    Annual Rate  
First $500 million      0.8000
Next $500 million      0.7000
Next $4 billion      0.6500
Next $5 billion      0.6475
Amount Over $10 billion      0.6450

The Hartford Checks and Balances Fund

Average Daily Net Assets    Annual Rate
   None

 

 

 

# 

Affiliated Funds include any mutual fund or exchange-traded fund for which Hartford Funds Management Company, LLC or its affiliates serve as investment manager.

 

5


Hartford Climate Opportunities Fund

Average Daily Net Assets    Annual Rate  
First $500 million      0.6200
Next $500 million      0.6000
Next $1.5 billion      0.5800
Next $2.5 billion      0.5750
Over $5 billion      0.5700

Hartford Core Equity Fund

Average Daily Net Assets    Annual Rate  
First $500 million      0.4500
Next $500 million      0.3500
Next $1.5 billion      0.3300
Next $2.5 billion      0.3250
Amount Over $5 billion      0.3225

The Hartford Dividend and Growth Fund and The Hartford MidCap Value Fund

Average Daily Net Assets    Annual Rate  
First $500 million      0.7500
Next $500 million      0.6500
Next $1.5 billion      0.6000
Next $2.5 billion      0.5950
Next $5 billion      0.5900
Amount Over $10 billion      0.5850

Hartford Emerging Markets Equity Fund

Average Daily Net Assets    Annual Rate  
First $500 million      0.9000
Next $500 million      0.8500
Amount Over $1 billion      0.8000

The Hartford Emerging Markets Local Debt Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.7500

Next $500 million

     0.7000

Amount Over $1 billion

     0.6900

The Hartford Equity Income Fund

Average Daily Net Assets    Annual Rate  
First $250 million      0.7500
Next $250 million      0.7000
Next $500 million      0.6500
Next $1.5 billion      0.6000
Next $2.5 billion      0.5900
Amount Over $5 billion      0.5875

The Hartford Floating Rate Fund

Average Daily Net Assets    Annual Rate

 

6


First $500 million    0.6500%
Next $2 billion    0.6000%
Next $2.5 billion    0.5900%
Next $5 billion    0.5800%
Amount Over $10 billion    0.5700%

The Hartford Global Real Asset Fund

Average Daily Net Assets    Annual Rate  
First $500 million      0.7950
Next $500 million      0.7600
Next $1.5 billion      0.7300
Next $2.5 billion      0.7000
Amount over $5 billion      0.6600

The Hartford High Yield Fund

Average Daily Net Assets    Annual Rate  
First $1 billion      0.5000
Next $4 billion      0.4500
Next $5 billion      0.4400
Amount Over $10 billion      0.4350

The Hartford Inflation Plus Fund

Average Daily Net Assets    Annual Rate  
First $500 million      0.3900
Next $500 million      0.3800
Next $1.5 billion      0.3750
Next $2.5 billion      0.3700
Next $5 billion      0.3675
Amount Over $10 billion      0.3650

Hartford International Equity Fund

Average Daily Net Assets    Annual Rate
First $1 billion    0.4600%
Next $1 billion    0.4500%
Next $3 billion    0.4400%
Amount Over $5 billion    0.4300%

The Hartford International Growth Fund

 

Average Daily Net Assets    Annual Rate
First $250 million    0.8000%
Next $250 million    0.7500%
Next $500 million    0.7000%
Amount Over $1 billion    0.6500%

The Hartford International Opportunities Fund

 

7


Average Daily Net Assets    Annual Rate  

First $500 million

     0.7500

Next $500 million

     0.6500

Next $1.5 billion

     0.6400

Next $2.5 billion

     0.6350

Next $5 billion

     0.6300

Amount Over $10 billion

     0.6250

The Hartford International Value Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.8500

Next $500 million

     0.8000

Next $4 billion

     0.7500

Next $5 billion

     0.7475

Amount Over $10 billion

     0.7450

The Hartford MidCap Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.8500

Next $500 million

     0.7500

Next $4 billion

     0.7000

Next $5 billion

     0.6975

Amount Over $10 billion

     0.6950

Hartford Multi-Asset Income Fund

Average Daily Net Assets    Annual Rate

First $500 million

   0.5900%

Next $250 million

   0.5500%

Next $250 million

   0.5000%

Next $4 billion

   0.4750%

Next $5 billion

   0.4725%

Amount Over $10 billion

   0.4700%

Hartford Municipal Short Duration Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.3500

Next $500 million

     0.3000

Next $1.5 billion

     0.2900

Next $2.5 billion

     0.2850

Amount Over $5 billion

     0.2800

The Hartford Short Duration Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.4100

Next $500 million

     0.3700

Next $1.5 billion

     0.3650

Next $2.5 billion

     0.3600

Next $5 billion

     0.3500

Amount Over $10 billion

     0.3400

Hartford Small Cap Value Fund

 

8


Average Daily Net Assets    Annual Rate  

First $500 million

     0.7000

Next $500 million

     0.6500

Next $2 billion

     0.6000

Next $2 billion

     0.5900

Next $5 billion

     0.5800

Amount Over $10 billion

    

 

0.5700

 

 

The Hartford Strategic Income Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.5500

Next $500 million

     0.5000

Next $1.5 billion

     0.4750

Next $2.5 billion

     0.4650

Next $5 billion

     0.4550

Amount Over $10 billion

     0.4450

Hartford Sustainable Municipal Bond Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.3500

Next $500 million

     0.3000

Next $1.5 billion

     0.2900

Next $2.5 billion

     0.2850

Amount Over $5 billion

     0.2800

The Hartford Total Return Bond Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.3500

Next $500 million

     0.3000

Next $4 billion

     0.2600

Amount Over $5 billion

     0.2500

The Hartford World Bond Fund

Average Daily Net Assets    Annual Rate

First $250 million

   0.7000%

Next $250 million

   0.6500%

Next $2 billion

   0.6000%

Next $2.5 billion

   0.5500%

Next $5 billion

   0.4750%

Amount Over $10 billion

   0.4500%

The Hartford Conservative Allocation Fund, The Hartford Growth Allocation Fund and

Hartford Moderate Allocation Fund

Average Daily Net Assets    Annual Rate  

First $500 million

     0.1000

Next $500 million

     0.0950

Next $1.5 billion

     0.0900

Next $2.5 billion

     0.0800

Next $2.5 billion

     0.0700

Next $2.5 billion

     0.0600

Amount Over $10 billion

     0.0500

 

9


 THE HARTFORD MUTUAL FUNDS II, INC.

The Hartford Growth Opportunities Fund

Average Daily Net Assets

   Annual Rate  

First $250 million

     0.8000%  

Next $4.75 billion

     0.7000%  

Next $5 billion

     0.6975%  

Amount Over $10 billion

     0.6950%  

    Hartford Quality Value Fund

Average Daily Net Assets

   Annual Rate  

First $500 million

     0.4500

Next $500 million

     0.3500

Next $4 billion

     0.3300

Next $5 billion

     0.3250

Amount Over $10 billion

     0.3225

Hartford Schroders China A Fund

Average Daily Net Assets

   Annual Rate  

First $1 billion

     0.9000

Amount over $1 billion

     0.8900

Hartford Schroders Emerging Markets Equity Fund

Average Daily Net Assets

   Annual Rate  

First $1 billion

     1.0500

Next $4 billion

     1.0000

Next $5 billion

     0.9900

Amount over $10 billion

     0.9850

Hartford Schroders Emerging Markets Multi-Sector Bond Fund

Average Daily Net Assets

  

Annual Rate

First $1 billion

   0.7000%

Next $4 billion

   0.6500%

Next $5 billion

   0.6400%

Amount over $10 billion

   0.6350%

Hartford Schroders International Multi-Cap Value Fund

Average Daily Net Assets

   Annual Rate  

First $1 billion

     0.7200

Next $4 billion

     0.6800

Next $5 billion

     0.6750

Amount Over $10 billion

     0.6700

Hartford Schroders International Stock Fund

 

10


Average Daily Net Assets

  

Annual Rate

 

First $1 billion

     0.6700

Next $4 billion

     0.6500

Next $5 billion

     0.6450

Amount over $10 billion

     0.6400

Hartford Schroders Securitized Income Fund

Average Daily Net Assets

  

Annual Rate

 

First $1 billion

     0.6500

Amount over $1 billion

     0.6000

Hartford Schroders Sustainable Core Bond Fund

Average Daily Net Assets

  

Annual Rate

 

First $500 million

     0.3200

Next $500 million

     0.3000

Amount over $1 billion

     0.2800

Hartford Schroders Tax-Aware Bond Fund

Average Daily Net Assets

  

Annual Rate

 

First $1 billion

     0.4500

Next $4 billion

     0.4300

Next $5 billion

     0.4250

Amount over $10 billion

     0.4200

Hartford Schroders US MidCap Opportunities Fund

Average Daily Net Assets

  

Annual Rate

 

First $1 billion

     0.7500

Next $1.5 billion

     0.7000

Next $2.5 billion

     0.6500

Next $5.0 billion

     0.6450

Amount over $10 billion

     0.6400

Hartford Schroders US Small Cap Opportunities Fund

Average Daily Net Assets

  

Annual Rate

 

First $1 billion

     0.9000

Next $4 billion

     0.8900

Next $5 billion

     0.8800

Amount over $10 billion

     0.8700

The Hartford Small Cap Growth Fund

Average Daily Net Assets

  

Annual Rate

 

First $100 million

     0.9000

Next $150 million

     0.8000

Next $250 million

     0.7000

Next $4.5 billion

     0.6500

Next $5 billion

     0.6300

Amount Over $10 billion

     0.6200

 

11