EX-99.(E)(1)(I) 12 a16-16022_1ex99de1i.htm EX-99.(E)(1)(I)

Exhibit 99.(e)(1)(i)

 

THE UBS FUNDS

PRINCIPAL UNDERWRITING CONTRACT

AMENDMENT NUMBER ONE

 

THIS AMENDMENT is made this 30th day of December, 2015, by and between The UBS Funds, a Delaware statutory trust (the “Trust”), and UBS Asset Management (US) Inc. (formerly, UBS Global Asset Management (US) Inc.), a Delaware corporation (the “Underwriter”).

 

WHEREAS, the Trust and the Underwriter have previously entered into a Principal Underwriting Contract, dated November 5, 2001 (the “Underwriting Contract”), pursuant to which the Underwriter agreed to act as principal underwriter in connection with the offering and sale of Class A, Class B, Class C and/or Class Y shares of beneficial interest of the series of the Trust, and of such other series as may hereafter be designated by the board of trustees of the Trust from time to time; and

 

WHEREAS, the Underwriter has changed its name to “UBS Asset Management (US) Inc.” and the Trust and Underwriter desire to amend the underwriting contract to reflect the new name of the Underwriter;

 

NOW, THEREFORE, in consideration of the terms and conditions hereinafter set forth, it is agreed as follows:

 

1.              The name of UBS Global Asset Management (US) Inc., and all references in the Underwriting Contract to UBS Global Asset Management (US) Inc., shall be changed to UBS Asset Management (US) Inc.

 

2.              The effective date of the Amendment shall be December 30, 2015.

 

3.              The parties hereby further agree that no other provisions of the Underwriting Contract are in any way modified by this Amendment, and that all other provisions of the Underwriting Contract remain in full force and effect.

 


 

IN WITNESS WHEREOF, the parties hereby have caused this Amendment to be executed this 30th day of December, 2015.

 

 

THE UBS FUNDS

 

THE UBS FUNDS

 

 

 

By:

/s/ Tammie Lee

 

By:

/s/ Thomas Disbrow

Name:

Tammie Lee

 

Name:

Thomas Disbrow

Title:

Vice President and Assistant Secretary

 

Title:

Vice President, Treasurer and Principal Accounting Officer

 

 

 

 

 

 

 

 

 

 

UBS ASSET MANAGEMENT (US) INC.

 

UBS ASSET MANAGEMENT (US) INC.

 

 

 

By:

/s/ Joseph A. Allessie

 

By:

/s/ Mark Kemper

Name:

Joseph A. Allessie

 

Name:

Mark Kemper

Title:

Chief Compliance Officer

 

Title:

Managing Director and General Counsel