EX-99.H.(I).B 4 d102950dex99hib.htm FORM OF AMENDMENT TO SCHEDULE C OF THE AMENDED AND RESTATED TRANSFER AGENCY Form of Amendment to Schedule C of the Amended and Restated Transfer Agency

FORM OF

AMENDMENT TO THE

AMENDED AND RESTATED TRANSFER AGENCY AND SERVICE AGREEMENT

This AMENDMENT (“Amendment”), dated February 28, 2021, amends that certain Amended and Restated Transfer Agency Agreement (this “Agreement”), dated February 28, 2020, as may be amended from time to time, by and among The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc., each, a Maryland corporation, and Hartford Schroders Opportunistic Income Fund (the “Interval Fund”), a Delaware statutory trust (together with The Hartford Mutual Funds, Inc. and The Hartford Mutual Funds II, Inc., the “Funds”), each having its principal office and place of business at 690 Lee Road, Wayne, PA 19087, and Hartford Administrative Services Company (“HASCO”), a Minnesota corporation and a wholly subsidiary of Hartford Funds Management Group, Inc., a Delaware corporation, each of which has its principal office and place of business at 690 Lee Road, Wayne, PA 19087.

WHEREAS, the Funds and HASCO desire to amend the Agreement to revise the contractual expense limitation arrangements set forth under Schedule C (Transfer Agency Fee and Expense Limitations by Share Class) to the Agreement;

NOW, THEREFORE, in consideration of the mutual covenants herein contained, the Funds and HASCO agree as follows:

 

1.

Effective March 1, 2021, Schedule C of the Agreement is deleted in its entirety and replaced with Schedule C attached hereto.

 

2.

All other terms of the Agreement shall remain in full force and effect.

 

3.

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.

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

[Signatures follow on next page]


IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be executed in their names and on their behalf by and through their duly authorized officers, as of the day and year first above written.

 

THE HARTFORD MUTUAL FUNDS, INC.

  Severally, on behalf of their respective Series of Shares,

BY:                                                
Name:   Thomas R. Phillips
Title:   Vice President and Secretary
THE HARTFORD MUTUAL FUNDS II, INC.

  Severally, on behalf of their respective Series of Shares,

BY:                                                
Name:   Thomas R. Phillips
Title:   Vice President and Secretary
HARTFORD SCHRODERS OPPORTUNISTIC INCOME FUND
BY:                                                
Name:   Thomas R. Phillips
Title:   Vice President and Secretary
HARTFORD ADMINISTRATIVE SERVICES COMPANY
BY:                                                
Name:   Gregory A. Frost
Title:   Chief Financial Officer

 

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SCHEDULE C

TRANSFER AGENCY FEE AND EXPENSE LIMITATIONS BY SHARE CLASS

This Schedule C, as may be amended from time to time, is incorporated into that certain Amended and Restated Transfer Agency and Service Agreement, dated February 28, 2020, by and between the Funds and HASCO (as defined in the Agreement). Capitalized terms used but not defined on this Schedule C have the meanings given to such terms in the Agreement.

For purposes calculating the TA Fee, as defined under Section 5 on Schedule B, the following amounts shall equal the Specified Amount, as defined under Section 5.b on Schedule B:

 

  1.

Subject to the provisions of Sections 2 through 6 below, the Specified Amount by Share Class is equal to:

 

Share Class

  

Percentage of Average Daily Net Assets

     

Class A:

  

0.250% (25 bps)

Class C:

  

0.250% (25 bps)

Class I:

  

0.200% (20 bps)

Class Y:

  

0.110% (11 bps)

Class F:

  

0.004% (0.4 bps)

Class SDR:

  

0.004% (0.4 bps)

Class T:

  

0.250% (25 bps)1

Class R3:

  

0.220% (22 bps)

Class R4:

  

0.170% (17 bps)

Class R5:

  

0.120% (12 bps)

Class R6:

  

0.004% (0.4 bps)

 

  2.

The Hartford MidCap Fund Class I TA Fee Cap: For the period March 1, 2021 through February 28, 2022, HASCO has agreed to waive its TA Fee and/or reimburse transfer agency-related expenses to the extent necessary to ensure that TA Fee for The Hartford MidCap Fund Class I does not exceed 0.120% (12 bps) of average daily net assets.

 

  3.

Hartford Inflation Plus Fund Class A TA Fee Cap: For the period March 1, 2021 through February 28, 2022, HASCO has agreed to waive its TA Fee and/or reimburse transfer agency-related expenses to the extent necessary to ensure that TA Fee for Hartford Inflation Plus Fund Class A does not exceed 0.150% (15 bps) of average daily net assets.

 

  4.

Hartford Short Duration Fund Class A TA Fee Waiver: For the period March 1, 2021 through February 28, 2022, HASCO has agreed to waive its TA Fee and/or reimburse transfer agency-related expenses to the extent necessary to ensure that TA Fee for Hartford Short Duration Fund Class A does not exceed 0.120% (12 bps) of average daily net assets.

 

  5.

Class Y TA Fee Cap: For the period March 1, 2021, through February 28, 2022, HASCO has agreed to waive its TA Fee and/or reimburse transfer agency-related expenses to the extent necessary to ensure that the Class Y TA Fee payable by a Fund listed in Table 2 below does not

 

 

 

1 

As of the effective date of this Agreement, the Funds do not offer Class T shares. The reference to Class T shares on this Schedule C is merely for future reference in case the Funds commence a public offering of Class T shares.


 

exceed the amount specified in Table 2 (the “Class Y TA Fee Cap”). The terms of the Class Y TA Fee Cap is contractually binding on HASCO and any portion of the Class Y TA Fee waived by HASCO as a result of the Class Y TA Fee Cap shall not be subject to any recoupment by HASCO. The terms of the Class Y TA Fee Cap contractual arrangement may be amended only by mutual written agreement between the Funds (upon the approval of the Board) and HASCO. For the avoidance of doubt, for the period March 1, 2021, through February 28, 2022, the Class Y TA Fee payable by a Fund listed on Table 2 below shall equal to the lesser of: (i) the Invoice Amount (as that term is defined on Schedule B to the Agreement); (ii) the Specified Amount listed in Section 1 above; or (iii) the Class Y TA Fee Cap listed on Table 2 below.

 

 

Table 2: Class Y TA Cap

 

Fund   

 

Class Y TA Fee Shall Not
Exceed the Annual Rate of:

 

   

Hartford Core Equity Fund

   0.080% (8 bps)
   

The Hartford Dividend and Growth Fund

   0.040% (4 bps)
   

The Hartford International Opportunities Fund

   0.070% (7 bps)
   

The Hartford International Value Fund

   0.060% (6 bps)
   

Hartford Schroders International Multi-Cap Value Fund

   0.080% (8 bps)
   

The Hartford MidCap Fund

   0.040% (4 bps)
   

The Hartford Small Cap Growth Fund

   0.060% (6 bps)

 

  6.

The Specified Amounts listed on this Schedule C shall not apply to the Interval Fund.

 

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