EX-2 6 exhibit26c9.htm EXHIBIT 26(C)(9) exhibit26c9.htm - Generated by SEC Publisher for SEC Filing

Exhibit 26(c)(9): Amendment No. 1 to the Intercompany Agreement between ING Investment Management LLC and ReliaStar Life Insurance Company

AMENDMENT NO. 1 TO THE INTERCOMPANY AGREEMENT

     This Amendment No. 1, made and entered into as of December 1, 2013 and effective, unless otherwise noted, as of December 23, 2010, amends the Intercompany Agreement, dated as of December 22, 2010 (the “Agreement”), by and among ING Investment Management LLC (“IIM”) and Reliastar Life Insurance Company (“RLIC”).

W I T N E S S E T H

     WHEREAS, IIM conducts an asset management business through various companies that provides investment advice to and perform administrative services for certain U.S. registered investment companies (“Funds”), including ING Investments, LLC (“IIL”), an investment adviser for certain Funds; and

     WHEREAS, RLIC is an insurance company which offers a variety of insurance products, including variable annuities; Funds advised by IIL are made available through sub-accounts to purchasers of these insurance products; and

     WHEREAS, IIM pays and/or causes its subsidiaries to pay, to RLIC the amounts derived from applying the annual rates listed in Schedule A against the average net assets invested in the Funds by RLIC and by RLIC non-insurance customers during the prior calendar month; and

     WHEREAS, Schedule A is reviewed at least once each calendar quarter and may be modified at any time by mutual written consent; and

     WHEREAS, modifications have been made to Schedule A during the period between the effective date and the date of this Amendment No. 1; and

NOW, THEREFORE, the parties agree as follows:

1.      Schedule A to the Agreement is deleted in its entirety and is replaced with the attached Schedule A.
2.      Capitalized terms used in this Amendment and not otherwise defined shall have the meanings ascribed to them in the Agreement.

Amend #1- Schedule A


3.      This Amendment may be executed in several counterparts, each of which shall be an original, but all of which together will constitute one and the same instrument.
4.      In all other respects, the Agreement is hereby confirmed and remains in full force and effect.

IN WITNESS WHEREOF, the parties hereto have caused this Amendment No. 1 to be executed as of the day and year first above written.

ING INVESTMENT MANAGEMENT     RELIASTAR LIFE INSURANCE 
LLC     COMPANY 
 
By: /s/ Daniel Wilcox     By: /s/ Lisa S. Gilarde 
Name: Daniel Wilcox     Name: Lisa S. Gilarde 
Title: Chief Financial Officer     Title: Vice President 

 

Amend #1- Schedule A


Schedule A

This Schedule is made and entered into as of December 1, 2013 and, unless otherwise identified below, is effective as of December 23, 2010.

As described in Section 1 RLIC shall be paid at the rates set forth immediately below. In the case of funds of funds, except as otherwise indicated below, payments will not apply to the shares of the fund of funds held directly but will instead apply to shares of underlying funds held indirectly through the fund of funds at the rates specified for those underlying funds calculated in the same manner as if the underlying funds were held directly.

Payments listed in Schedule A shall not be made for assets contained in the following retirement plans:

  • ING USA Annuity & Life Insurance Company "Equifund" Retirement Plan
  • ING Americas Savings Plan & ESOP
  • The 401(k) Plan for ILIAC Agents
  • ING Investment Management LLC 401(k) Profit Sharing Plan
Fund Type  Fund  Rate 
3rd Party SA  ING Alternative Beta Fund (liquidated 12/10/12)  % 
Am Fund Feeders  ING American Funds Global Growth and Income Portfolio  % 
Am Fund Feeders  ING American Funds International Growth and Income Portfolio  % 
IIM Equity/Balanced  ING Australia Index Portfolio (effective 3/2/11)  % 
IIM Equity/Balanced  ING Balanced Portfolio  % 
3rd Party SA  ING BlackRock Science and Technology Opportunities Portfolio (merged into ING MidCap  % 
  Opportunities Portfolio on 3/23/13)   
IIM Fixed  ING Bond Portfolio (effective 7/21/12)  % 
IIM Fixed  ING Brokerage Cash Reserves (liquidated on 3/8/11)  % 
Fund of Funds  ING Capital Allocation Fund  % 
3rd Party SA  ING Clarion Global Real Estate Portfolio  % 
IIM Fixed  ING Classic Money Market Fund (liquidated on 3/8/11)  % 
IIM Equity/Balanced  ING Core Equity Research Fund  % 
IIM Equity/Balanced  ING Corporate Leaders 100 Fund  % 
IIM Equity/Balanced  ING Corporate Leaders Trust Fund Series B  % 
IIM Fixed  ING Diversified Emerging Markets Debt Fund (effective 10/15/12)  % 
Fund of Funds  ING Diversified International Fund  % 
3rd Party SA  ING Emerging Countries Fund (merged into ING Emerging Markets Equity Fund on 7/21/12)  % 
3rd Party SA  ING Emerging Markets Equity Dividend Fund (effective 7/21/12)  % 
3rd Party SA  ING Emerging Markets Equity Fund (effective 10/3/11)  % 
IIM Equity/Balanced  ING Emerging Markets Index Portfolio (effective 12/19/11)  % 
IIM Equity/Balanced  ING Equity Dividend Fund (name change to ING Large Cap Value Fund)  % 
IIM Equity/Balanced  ING Euro STOXX 50 Index Portfolio  % 
IIM Fixed  ING Floating Rate Fund  % 
IIM Equity/Balanced  ING FTSE 100 Index Portfolio  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 10 (liquidated 12/5/12)  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 11 (liquidated 2/28/13)  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 12 (liquidated 6/20/13)  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 13  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 14  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 5 (liquidated 9/9/11)  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 6 (liquidated 12/9/11)  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 7 (liquidated 3/8/12)  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 8 (liquidated 6/7/12)  % 
IIM Fixed  ING GET U.S. Core Portfolio - Series 9 (liquidated 9/6/12)  % 
IIM Fixed  ING Global Bond Fund  % 
IIM Fixed  ING Global Bond Portfolio  % 
3rd Party SA  ING Global Equity Dividend Fund  % 
IIM Equity/Balanced  ING Global Natural Resources Fund  % 
3rd Party SA  ING Global Opportunities Fund  % 
3rd Party SA  ING Global Real Estate Fund  % 

 


Schedule A (Cont.)
 
Fund Type  Fund  Rate 
    % 
IIM Equity/Balanced  ING Global Resources Portfolio  % 
Fund of Funds  ING Global Target Payment Fund  % 
IIM Equity/Balanced  ING Global Value Advantage Portfolio (effective 7/12/13)  % 
3rd Party SA  ING Global Value Choice Fund (merged into ING International Value Equity Fund on  % 
  7/13/13)   
IIM Fixed  ING GNMA Income Fund  % 
3rd Party SA  ING Goldman Sachs Commodity Strategy Portfolio (Adviser changed to IIL from DSL on  % 
  1/1/13)   
3rd Party SA  ING Greater China Fund (name change to ING Emerging Markets Equity Dividend Fund)  % 
IIM Equity/Balanced  ING Growth and Income Portfolio  % 
IIM Equity/Balanced  ING Growth Opportunities Fund  % 
IIM Equity/Balanced  ING Hang Seng Index Portfolio  % 
IIM Fixed  ING High Yield Bond Fund  % 
IIM Equity/Balanced  ING Index Plus International Equity Fund (liquidated 2/22/13)  % 
IIM Equity/Balanced  ING Index Plus LargeCap Fund (merged into ING Corporate Leaders 100 Fund on 7/21/12)  % 
IIM Equity/Balanced  ING Index Plus LargeCap Portfolio  % 
IIM Equity/Balanced  ING Index Plus MidCap Fund (merged into ING SMID Cap Equity Fund on 7/21/12)  % 
IIM Equity/Balanced  ING Index Plus MidCap Portfolio  % 
IIM Equity/Balanced  ING Index Plus SmallCap Fund (merged into ING SMID Cap Equity Fund on 7/21/12)  % 
IIM Equity/Balanced  ING Index Plus SmallCap Portfolio  % 
Fund of Funds  ING Index Solution Portfolios  % 
IIM Fixed  ING Intermediate Bond Fund  % 
IIM Fixed  ING Intermediate Bond Portfolio  % 
3rd Party SA  ING International Capital Appreciation Fund (liquidated 3/23/12)  % 
3rd Party SA  ING International Core Fund (effective 2/8/11)  % 
3rd Party SA  ING International Growth Fund (effective 1/5/11. Name changed to ING Multi-Manager  % 
  International Equity Fund on 07/01/13)   
IIM Equity/Balanced  ING International Index Portfolio  % 
3rd Party SA  ING International Real Estate Fund  % 
3rd Party SA  ING International Small Cap Fund  % 
3rd Party SA  ING International Value Choice Fund (merged into ING International Value Equity on  % 
  7/13/13)   
IIM Equity/Balanced  ING International Value Equity Fund (effective 11/30/12)  % 
IIM Equity/Balanced  ING International Value Fund (merged into ING International Value Equity Fund on 7/13/13)  % 
IIM Equity/Balanced  ING International Value Portfolio  % 
IIM Fixed  ING Investment Grade Credit Fund  % 
IIM Equity/Balanced  ING Japan TOPIX Index Portfolio  % 
IIM Equity/Balanced  ING Large Cap Growth Fund (effective 3/1/12)  % 
IIM Equity/Balanced  ING Large Cap Growth Portfolio  % 
IIM Equity/Balanced  ING Large Cap Value Fund (name change from ING Equity Dividend Fund)  % 
IIM Equity/Balanced  ING Large Cap Value Portfolio  % 
IIM Fixed  ING Limited Maturity Bond Portfolio  % 
IIM Fixed  ING Liquid Assets Portfolio  % 
IIM Equity/Balanced  ING MidCap Opportunities Fund  % 
IIM Equity/Balanced  ING MidCap Opportunities Portfolio  % 
3rd Party SA  ING MidCap Value Fund (effective 10/3/11)  % 
IIM Fixed  ING Money Market Fund  % 
IIM Fixed  ING Money Market Portfolio  % 
3rd Party SA  ING Multi-Manager International Equity Fund (effective 7/1/13)  % 
Fund of Funds  ING Oppenheimer Active Allocation Portfolio (merged into ING T. Rowe Price Capital  % 
  Appreciation Portfolio on 3/23/13)   
3rd Party SA  ING Real Estate Fund  % 
Fund of Funds  ING Retirement Portfolios (effective 1/1/14)  % 
Fund of Funds  ING Retirement Solution Funds (effective 12/19/12)  % 
IIM Equity/Balanced  ING Russell Large Cap Growth Index Portfolio  % 
IIM Equity/Balanced  ING Russell Large Cap Index Portfolio  % 
IIM Equity/Balanced  ING Russell Large Cap Value Index Portfolio  % 
IIM Equity/Balanced  ING Russell Mid Cap Growth Index Portfolio  % 
IIM Equity/Balanced  ING Russell Mid Cap Index Portfolio  % 
IIM Equity/Balanced  ING Russell Small Cap Index Portfolio  % 

 


Schedule A (Cont.)
 
 
 
Fund Type  Fund  Rate 
 
3rd Party SA  ING Russia Fund  % 
IIM Fixed  ING Senior Income Fund  % 
IIM Fixed  ING Short Term Bond Fund (effective 11/29/12)  % 
IIM Equity/Balanced  ING Small Company Fund  % 
IIM Equity/Balanced  ING Small Company Portfolio  % 
IIM Equity/Balanced  ING SmallCap Opportunities Fund  % 
IIM Equity/Balanced  ING SmallCap Opportunities Portfolio  % 
IIM Equity/Balanced  ING SMID Cap Equity Fund (effective 7/21/12)  % 
Fund of Funds  ING Solution Portfolios  % 
Fund of Funds  ING Strategic Allocation Portfolios  % 
IIM Fixed  ING Strategic Income Fund (effective 10/15/12)  % 
IIM Equity/Balanced  ING Tactical Asset Allocation Fund (liquidated 12/15/11)  % 
IIM Fixed  ING U.S. Bond Index Portfolio (effective 2/21/12)  % 
IIM Equity/Balanced  ING U.S. Stock Index Portfolio  % 
IIM Equity/Balanced  ING Value Choice Fund (merged into ING Large Value Fund on 7/13/13)  % 
IIM Equity/Balanced  ING WisdomTree Global High-Yielding Equity Index Portfolio (name change to ING Global  % 
  Value Advantage Portfolio on 7/12/13)   

 

For the fund of funds listed above, IIM will pay the amount stated in this Schedule A. IIM will not pay any amounts on assets in the underlying funds in these fund of funds. In addition, amounts due to RLIC from IIM for these fund of funds shall be reduced by amounts due to RLIC from Directed Services LLC (DSL) and/or its subsidiaries under the Intercompany Agreement between DSL and RLIC with respect to the underlying funds in these fund of funds.