EX-99.E.(I).M 8 tm206847-13_ex99eim.htm AMENDMENT NUMBER 12 TO THE PRINCIPAL UNDERWRITING AGREEMENT

 

Exhibit e.(i).m

 

AMENDMENT NUMBER 12

TO THE

PRINCIPAL UNDERWRITING AGREEMENT

 

This Amendment Number 12 (the “Amendment”) to the Principal Underwriting Agreement is made as of this 30th day of September, 2019, by and between Hartford Funds Distributors, LLC (formerly known as Hartford Investment Financial Services, LLC), The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc. on behalf each Fund listed on Schedule A.

 

WHEREAS, the parties hereto have entered into a Principal Underwriting Agreement dated as of January 1, 2013, as amended and restated August 7, 2013 (as amended, supplemented, restated or otherwise modified from time to time, the “Agreement”); and

 

WHEREAS, the parties hereto wish to amend the Agreement in order to revise the list of Funds covered by the Agreement and to add Hartford Schroders Opportunistic Income Fund (the “Trust” and also a “Fund”) as a party to the Agreement.

 

NOW, THEREFORE, for good and adequate consideration, the receipt of which is hereby acknowledged, the parties hereto agree as follows:

 

1.Effective as of September 30, 2019, Hartford Schroders Opportunistic Income Fund, a Delaware statutory trust, is added as a party to the Agreement.

 

2.The first sentence of section 21 is deleted in its entirety and replaced with the following:

 

This Agreement shall be subject to the laws of the State of New York and shall be interpreted and construed to further and promote the operation of each Company as an investment company.

 

3.Schedule A of the Agreement is hereby deleted in its entirety and replaced with the Amended and Restated Schedule A attached hereto.

 

4.Except as modified hereby, the Agreement shall remain in full force and effect.

 

 

 

 

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

 

The Hartford Mutual Funds, Inc.   The Hartford Mutual Funds II, Inc.
     
By: /s/ Thomas R. Phillips   By: /s/ Thomas R. Phillips
  Name: Thomas R. Phillips     Name: Thomas R. Phillips
  Title: Secretary and Vice President     Title: Secretary and Vice President
     
Agreed to and Accepted:    
     
Hartford Funds Distributors, LLC    
     
By: /s/ Gregory A. Frost    
  Name: Gregory A. Frost    
  Title: Chief Financial Officer    

 

 

 

 

AMENDED AND RESTAED SCHEDULE A

 

This Amended and Restated Schedule A to that certain Amended and Restated Principal Underwriting Agreement dated January 1, 2013, as amended and restated August 7, 2013, is effective as of September 30, 2019.

 

THE HARTFORD MUTUAL FUNDS, INC.

 

Hartford AARP Balanced Retirement Fund

 

The Hartford Balanced Income Fund

 

The Hartford Capital Appreciation Fund

 

The Hartford Checks and Balances Fund

 

The Hartford Conservative Allocation Fund

 

Hartford Core Equity Fund

 

The Hartford Dividend and Growth Fund

 

Hartford Emerging Markets Equity Fund

 

The Hartford Emerging Markets Local Debt Fund

 

Hartford Climate Opportunities Fund1

 

The Hartford Equity Income Fund

 

The Hartford Floating Rate Fund

 

The Hartford Floating Rate High Income Fund

 

Hartford Global Impact Fund

 

The Hartford Global Real Asset Fund

 

The Hartford Growth Allocation Fund

 

The Hartford Healthcare Fund

 

The Hartford High Yield Fund

 

The Hartford Inflation Plus Fund

 

Hartford International Equity Fund

 

The Hartford International Growth Fund

 

The Hartford International Opportunities Fund

 

The Hartford International Small Company Fund2

 

The Hartford International Value Fund

 

The Hartford MidCap Fund

 

The Hartford MidCap Value Fund

 

Hartford Moderate Allocation Fund

 

Hartford Multi-Asset Income and Growth Fund

 

Hartford Municipal Income Fund

 

The Hartford Municipal Opportunities Fund

 

Hartford Municipal Short Duration Fund

 

The Hartford Quality Bond Fund

 

The Hartford Short Duration Fund

 

The Hartford Small Cap Value Fund

 

The Hartford Small Company Fund

 

 

1 Effective on November 8, 2019 the fund name changed from Hartford Environmental Opportunities Fund

2 This fund will merge into Hartford Global Impact Fund on or about November 22, 2019

 

 

 

 

The Hartford Strategic Income Fund

 

The Hartford Total Return Bond Fund

 

The Hartford World Bond Fund

 

THE HARTFORD MUTUAL FUNDS II, INC.

 

The Hartford Growth Opportunities Fund

 

Hartford Multifactor International Fund

 

Hartford Multifactor Large Cap Value Fund

 

Hartford Quality Value Fund

 

Hartford Schroders Emerging Markets Equity Fund

 

Hartford Schroders Emerging Markets Multi-Sector Bond Fund

 

Hartford Schroders International Multi-Cap Value Fund

 

Hartford Schroders International Stock Fund

 

Hartford Schroders Securitized Income Fund

 

Hartford Schroders Tax-Aware Bond Fund

 

Hartford Schroders US MidCap Opportunities Fund

 

Hartford Schroders US Small Cap Opportunities Fund

 

The Hartford Small Cap Growth Fund

 

HARTFORD SCHRODERS OPPORTUNISTIC INCOME FUND