EX-99.(8)(OO)(I) 18 a21-2196_1ex99d8ooi.htm EX-99.(8)(OO)(I)

 

FOURTH AMENDMENT TO

RETAIL FUND PARTICIPATION AGREEMENT

 

This Fourth Amendment to Retail Fund Participation Agreement (“Amendment”) is entered into by and among Legg Mason Investor Services, LLC, (the “Distributor”, “We” or “Us”), Hartford Life Insurance Company (the “Service Provider”, “You” or “Your”) and Hartford Securities Distribution Company, Inc. (“HSD”),  collectively  (the “Parties”),  and is effective the latter of August 1, 2012 or the date of acceptance of this Amendment by the Distributor.

 

WHEREAS, the Parties entered into a Retail Fund Participation Agreement dated December 16, 2002, as amended April 24, 2007, February 5, 2009 and December 4, 2009 (the  “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;

 

WHEREAS, the Parties desire that Western Asset Management Company (“Western Asset”), a wholly-owned subsidiary of Legg Mason, Inc. and an affiliate of Distributor, be added as a signatory for the purposes of this Amendment only with respect to the compensation provisions relating to the Western Asset family of mutual funds;

 

WHEREAS, the Parties desire to amend the Agreement;

 

NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:

 

1.              Schedule B of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule B of the Agreement. Your compensation for each fund shown in this Amendment will be as shown in Schedule B.

 

2.              Anti-Bribery & Corruption.

 

The Parties represent and warrant to each other that each understands the requirements of all applicable laws, rules or regulations relating to bribery and corruption in  connection  with  this Agreement. Each party represents and warrants to the others that each will fully and faithfully  comply with such laws, rules or regulations in connection with all activities under or in any way connected with this Agreement.

 

3.              Blue Sky Registrations.

 

Distributor shall notify Service Provider of the states or other jurisdictions in which Shares are not currently available for sale to the public. Distributor shall have no obligation to register or make available Shares in any particular state or jurisdiction.  Service Provider represents and warrants that it  will not offer Shares of any Fund or Series for sale in any state or jurisdiction where such Shares may not be legally sold or where Service Provider is not qualified to act as a broker-dealer or is otherwise exempt from such qualification. Service Provider also represents and warrants that it will not offer Shares of any Fund in any foreign country unless authorized by Distributor. Under this Agreement, Service Provider trades shares in an omnibus account.

 

1

 

4.              Notices.

 

Notices required by this Agreement should be sent as follows:

 

You:

c/o Hartford Life Insurance Company

 

200 Hopmeadow Street, Simsbury, CT 06089

 

Attn:     [Redacted], Retirement Plans BIE

 

 

 

Fax:      617-406-1170

 

 

Distributor:

c/o Legg Mason

 

100 Stamford Place, 5th Floor

 

Stamford, CT 06902

 

 

 

Attn:      Business Development

 

Fax:       877-563-3019

 

5.              Effectiveness of Payment Obligations.

 

No compensation, fees or payment obligations contemplated by this Agreement will accrue until the date that the Agreement is executed by the Distributor.

 

6.              Addition to Article V. Fees and Expenses.

 

A new Section 5.2 shall be added to Article V of the Agreement as follows:

 

5.2  Service Provider shall provide Distributor with an invoice for the fees, accompanied by supporting schedules, in an electronic format that can be easily manipulated. The supporting schedules shall include CUSIPS, Fund Names and share classes. Service Provider shall provide assets, number of participant accounts, billing rate and fee calculation for each CUSIP.

 

5.3       12b-1 fees shall be paid to HSD and recordkeeping fees shall be paid to HLI.

 

7.     To the extent the Agreement contains the following language: “For any individual Fund for which both Class A and Class FI shares are available to investors under this Agreement, only Class FI shares may be offered to new Retirement Plans. Class A shares may continue to be offered to any Retirement Plan that currently purchases Class A shares of that Fund or of any predecessor Fund.”, this language is deleted in its entirety effective on or about August 1, 2012. Service Provider and HSD shall reference each Funds Prospectus for eligibility criteria.

 

8.              Other Terms.

 

Other than the foregoing, all other terms and conditions of the Agreement shall remain unchanged and in full force and effect and are ratified and confirmed in all respects by the Parties to this Amendment.

 

2

 

Legg Mason Investor Services, LLC

Hartford Life Insurance Company

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

Name:

[Redacted]

Title:

Managing Director

Title:

AVP

Date:

7/24/12

Date:

7/17/12

 

 

 

 

Acknowledged and Agreed to:

Hartford Securities Distribution Company, Inc.

Western Asset Management Company

 

 

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

Name:

[Redacted]

Title:

Head of New York Operations/Client Service/Marketing

Title:

AVP

Date:

7/30/12

Date:

7/17/12

 

3

 

SCHEDULE B

 

Legg Mason Class A-Funds with annual compensation on assets comprised of 12b-l (which is currently 25bps) and recordkeeping fees of 30bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

 

Legg Mason Batterymarch Global Equity Fund

 

A

 

CFIPX

 

52469H487

 

Legg Mason Batterymarch U.S. Large Cap Equity Fund

 

A

 

LMUPX

 

52469H347

 

Legg Mason Capital Management All Cap Fund

 

A

 

SPAAX

 

52469G786

 

Legg Mason ClearBridge Aggressive Growth Fund

 

A

 

SHRAX

 

52468C109

 

Legg Mason ClearBridge Appreciation Fund

 

A

 

SHAPX

 

52468E105

 

Legg Mason ClearBridge Equity Fund

 

A

 

LMQAX

 

524695202

 

Legg Mason ClearBridge Equity Income Builder Fund

 

A

 

SOPAX

 

52469H636

 

Legg Mason ClearBridge Fundamental All Cap Value Fund

 

A

 

SHFVX

 

52469C108

 

Legg Mason ClearBridge Large Cap Value Fund

 

A

 

SINAX

 

52470J100

 

Legg Mason ClearBridge Large Cap Growth Fund

 

A

 

SBLGX

 

52469H826

 

Legg Mason ClearBridge Mid Cap Core Fund

 

A

 

SBMAX

 

52469H768

 

Legg Mason ClearBridge Small Cap Growth Fund

 

A

 

SASMX

 

52470H815

 

Legg Mason ClearBridge Small Cap Value Fund

 

A

 

SBVAX

 

52469G513

 

Legg Mason ClearBridge Tactical Dividend Income Fund

 

A

 

CFLGX

 

52469H545

 

Legg Mason Esemplia Emerging Markets Equity Fund

 

A

 

SMKAX

 

52469H677

 

Legg Mason Global Currents International All Cap Opportunity Fund

 

A

 

SBIEX

 

52469X607

 

Legg Mason Investment Counsel Financial Services Fund

 

A

 

SBFAX

 

52469Rl05

 

Legg Mason Investment Counsel Social Awareness Fund

 

A

 

SSIAX

 

52469Al02

 

Western Asset Adjustable Rate Income Fund

 

A

 

ARMZX

 

52468A608

 

Western Asset Corporate Bond Fund

 

A

 

SIGAX

 

52469F317

 

Western Asset Emerging Markets Debt Portfolio

 

A

 

LWEAX

 

52469L694

 

Western Asset Global High Yield Bond Fund

 

A

 

SAHYX

 

52469F465

 

Western Asset High Income Fund

 

A

 

SHIAX

 

52469F630

 

Western Asset Mortgage Backed Securities Fund

 

A

 

SGVAX

 

52469F366

 

Western Asset Short-Term Bond Fund

 

A

 

SBSTX

 

52469E500

 

Western Asset Strategic Income Fund

 

A

 

SDSAX

 

52469F754

 

 

4

 

Legg Mason Class A-Funds with annual compensation on assets comprised of 12b-l (which is currently 25bps) and recordkeeping fees of 25bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

 

Legg Mason BW Absolute Return Opportunities Fund

 

A

 

LROAX

 

524686722

 

Legg Mason BW Diversified Large Cap Value Fund

 

A

 

LBWAX

 

524686789

 

Legg Mason BW Global Opportunities Bond Fund

 

A

 

GOBAX

 

524686383

 

Legg Mason BW International Opportunities Bond Fund

 

A

 

LWOAX

 

524686656

 

Legg Mason Target Retirement 2015 Fund

 

A

 

LMFAX

 

524701704

 

Legg Mason Target Retirement 2020 Fund

 

A

 

LMWAX

 

52470J845

 

Legg Mason Target Retirement 2025 Fund

 

A

 

LMXAX

 

524701779

 

Legg Mason Target Retirement 2030 Fund

 

A

 

LMVAX

 

524701712

 

Legg Mason Target Retirement 2035 Fund

 

A

 

LMNAX

 

52470J647

 

Legg Mason Target Retirement 2040 Fund

 

A

 

LMYAX

 

52470J571

 

Legg Mason Target Retirement 2045 Fund

 

A

 

LMKAX

 

52470J514

 

Legg Mason Target Retirement 2050 Fund

 

A

 

LMJAX

 

52470J449

 

Legg Mason Target Retirement Fund

 

A

 

LMPAX

 

52470J373

 

 

Legg Mason Class A-Funds with annual compensation on assets comprised of 12b-1 (which is currently 25bps) and recordkeeping fees of 15bps.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

 

Legg Mason Batterymarch Emerging Markets Trust

 

A

 

LMRAX

 

524686177

 

Legg Mason Batterymarch International Equity Trust

 

A

 

LMEAX

 

524686292

 

Legg Mason Batterymarch U.S. Small Cap Equity Portfolio

 

A

 

LMBAX

 

524686433

 

Legg Mason Capital Management Disciplined Equity Research Fund

 

A

 

LCDAX

 

524686854

 

Legg Mason Capital Management Growth Trust

 

A

 

LGGAX

 

524686540

 

Legg Mason Capital Management Opportunity Trust

 

A

 

LGOAX

 

52470B107

 

Legg Mason Capital Management Special Investment Trust

 

A

 

LMSAX

 

524686482

 

Legg Mason Capital Management Value Trust

 

A

 

LGVAX

 

524686623

 

Legg Mason ClearBridge Mid Cap Growth Fund

 

A

 

LBGAX

 

52467P564

 

Legg Mason Global Currents International Small Cap Opportunity Fund

 

A

 

LCOAX

 

52467P499

 

Legg Mason Lifestyle Allocation 30%

 

A

 

SBCPX

 

52467P853

 

Legg Mason Lifestyle Allocation 50%

 

A

 

SBBAX

 

52467P804

 

Legg Mason Lifestyle Allocation 70%

 

A

 

SCGRX

 

52467P812

 

Legg Mason Lifestyle Allocation 85%

 

A

 

SCHAX

 

52467P762

 

Legg Mason Permal Tactical Allocation Fund

 

A

 

LPTAX

 

52470J316

 

Legg Mason Strategic Real Return Fund

 

A

 

LRRAX

 

524686607

 

 

5

 

Legg Mason Class A- Funds with annual compensation on assets comprised of 12b-1 (which is currently 20bps).

 

Fund Name

 

Class

 

Ticker

 

CUSIP

 

Legg Mason Batterymarch S&P 500 Index Fund

 

A

 

SBSPX

 

52469H727

 

 

Legg Mason Class FI - Funds with annual compensation on assets comprised of 12b-1 (which is currently 25bps) and recordkeeping fees of 25bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

 

Legg Mason Batterymarch U.S. Large Cap Equity Fund

 

FI

 

LMUSX

 

52469H321

 

Legg Mason ClearBridge Aggressive Growth Fund

 

FI

 

LMPFX

 

52468C604

 

Legg Mason ClearBridge Appreciation Fund

 

FI

 

LMPIX

 

52468E600

 

Legg Mason ClearBridge Equity Income Builder Fund

 

FI

 

LBRIX

 

52469H123

 

Legg Mason ClearBridge Large Cap Growth Fund

 

FI

 

LMPGX

 

52469H685

 

Legg Mason ClearBridge Small Cap Growth Fund

 

FI

 

LMPSX

 

52470H682

 

Legg Mason Target Retirement 2015 Fund

 

FI

 

LMMFX

 

52470J886

 

Legg Mason Target Retirement 2020 Fund

 

FI

 

LMWFX

 

52470J829

 

Legg Mason Target Retirement 2025 Fund

 

FI

 

LMXFX

 

52470J753

 

Legg Mason Target Retirement 2030 Fund

 

FI

 

LMQFX

 

52470J688

 

Legg Mason Target Retirement 2035 Fund

 

FI

 

LMEFX

 

52470J621

 

Legg Mason Target Retirement 2040 Fund

 

FI

 

LMYFX

 

52470J555

 

Legg Mason Target Retirement 2045 Fund

 

FI

 

LMKFX

 

52470J480

 

Legg Mason Target Retirement 2050 Fund

 

FI

 

LMJFX

 

52470J423

 

Legg Mason Target Retirement Fund

 

FI

 

LMRPX

 

52470J357

 

 

Legg Mason Class FI- Funds with annual compensation on assets comprised of 12b-l (which is currently 25bps) and recordkeeping fees of 20bps.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

 

Note 3Legg Mason ClearBridge Mid Cap Growth Fund

 

FI

 

TBD

 

52467P549

 

Legg Mason Permal Tactical Allocation Fund

 

FI

 

LPTFX

 

52470J282

 

Western Asset Emerging Markets Debt Portfolio

 

FI

 

LMWDX

 

52469L579

 

Note 3 Western Asset Short Term Yield Fund

 

FI

 

TBD

 

52468A871

 

 

6

 

Legg Mason Class FI - Funds with annual compensation on assets comprised of 12b-1 (which is currently 25bps) and recordkeeping fees of 15bps.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Legg Mason Batterymarch Emerging Markets Trust

 

FI

 

LGFMX

 

524686219

Legg Mason Batterymarch International Equity Trust

 

FI

 

LGFEX

 

524686268

Legg Mason Batterymarch U.S. Small Cap Equity Portfolio

 

FI

 

LGSCX

 

524686342

Legg Mason BW Absolute Return Opportunities Fund

 

FI

 

LBAFX

 

524686698

Note3 Legg Mason BW Diversified Large Cap Value Fund

 

FI

 

TBD

 

524686763

Legg Mason BW Global Opportunities Bond Fund

 

FI

 

GOBFX

 

524686326

Legg Mason BW International Opportunities Bond Fund

 

FI

 

LWOFX

 

524686300

Note 3Legg Mason Capital Management Disciplined Equity Research Fund

 

FI

 

TBD

 

524686839

Legg Mason Capital Management Growth Trust

 

FI

 

LMGFX

 

524686516

Legg Mason Capital Management Opportunity Trust

 

FI

 

LMOFX

 

52470B404

Legg Mason Capital Management Special Investment Trust

 

FI

 

LGASX

 

524686458

Legg Mason Capital Management Value Trust

 

FI

 

LMVFX

 

524686565

Note 3Legg Mason Strategic Real Return Fund

 

FI

 

TBD

 

524686805

 

Legg Mason Class I - Funds with annual compensation on assets comprised of recordkeeping fees of 15bps.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Legg Mason Batterymarch Emerging Markets Trust

 

I

 

LGEMX

 

524686227

Legg Mason Batterymarch Global Equity Fund

 

I

 

SMYIX

 

52469H453

Legg Mason Batterymarch International Equity Trust

 

I

 

LGIEX

 

524686276

Legg Mason Batterymarch U.S. Large Cap Equity Fund

 

I

 

LMTIX

 

52469H297

Legg Mason Batterymarch U.S. Small Cap Equity Portfolio

 

I

 

LMSIX

 

524686359

Legg Mason BW Absolute Return Opportunities Fund

 

I

 

LROIX

 

524686672

Legg Mason BW Diversified Large Cap Value Fund

 

I

 

LBWIX

 

524686755

Legg Mason BW Global Opportunities Bond Fund

 

I

 

GOBIX

 

524686334

Legg Mason BW International Opportunities Bond Fund

 

I

 

LWOIX

 

524686409

Legg Mason Capital Management All Cap Fund

 

I

 

LACIX

 

52469G752

Legg Mason Capital Management Disciplined Equity Research Fund

 

I

 

LGMIX

 

524686821

Legg Mason Capital Management Growth Trust

 

I

 

LMGNX

 

524686524

Legg Mason Capital Management Opportunity Trust

 

I

 

LMNOX

 

52470B305

Legg Mason Capital Management Special Investment Trust

 

I

 

LMNSX

 

524686466

Legg Mason Capital Management Value Trust

 

I

 

LMNVX

 

524686573

Legg Mason ClearBridge Aggressive Growth Fund

 

I

 

SAGYX

 

52468C406

Legg Mason ClearBridge Appreciation Fund

 

I

 

SAPYX

 

52468E402

Legg Mason ClearBridge Equity Fund

 

I

 

LMQIX

 

524695509

Legg Mason ClearBridge Equity Income Builder Fund

 

I

 

SOPYX

 

52469H594

Legg Mason ClearBridge Fundamental All Cap Value Fund

 

I

 

SFVYX

 

52469C405

 

7

 

Legg Mason ClearBridge Large Cap Value Fund

 

I

 

SAIFX

 

52470J407

Legg Mason ClearBridge Large Cap Growth Fund

 

I

 

SBLYX

 

52469H784

Legg Mason ClearBridge Mid Cap Core Fund

 

I

 

SMBYX

 

52469H735

Legg Mason ClearBridge Mid Cap Growth Fund

 

I

 

LBGIX

 

52467P531

Legg Mason ClearBridge Small Cap Growth Fund

 

I

 

SBPYX

 

52470H765

Legg Mason ClearBridge Small Cap Value Fund

 

I

 

SMCYX

 

52469G471

Legg Mason ClearBridge Tactical Dividend Income Fund

 

I

 

LADIX

 

52469H511

Legg Mason Esemplia Emerging Markets Equity Fund

 

I

 

SBEYX

 

52469H644

Legg Mason Global Currents International All Cap Opportunity Fund

 

I

 

SBIYX

 

52469X888

Legg Mason Global Currents International Small Cap Opportunity Fund

 

I

 

LCOIX

 

52467P515

Legg Mason Investment Counsel Financial Services Fund

 

I

 

LMRIX

 

52469R402

Legg Mason Investment Counsel Social Awareness Fund

 

I

 

LMRNX

 

52469A409

Legg Mason Lifestyle Allocation 30%

 

I

 

LMGIX

 

52467P820

Legg Mason Lifestyle Allocation 50%

 

I

 

LMEIX

 

52467P861

Legg Mason Lifestyle Allocation 70%

 

I

 

LLAIX

 

52467P770

Legg Mason Lifestyle Allocation 85%

 

I

 

LANIX

 

52467P739

Legg Mason Permal Tactical Allocation Fund

 

I

 

LPTIX

 

52470J274

Legg Mason Strategic Real Return Fund

 

I

 

LRRIX

 

524686888

Legg Mason Target Retirement 2015 Fund

 

I

 

LMFIX

 

52470J860

Legg Mason Target Retirement 2020 Fund

 

I

 

LMWIX

 

52470J795

Legg Mason Target Retirement 2025 Fund

 

I

 

LMXIX

 

52470J738

Legg Mason Target Retirement 2030 Fund

 

I

 

LMVIX

 

52470J662

Legg Mason Target Retirement 2035 Fund

 

I

 

LMNIX

 

52470J597

Legg Mason Target Retirement 2040 Fund

 

I

 

LMNRX

 

52470J530

Legg Mason Target Retirement 2045 Fund

 

I

 

LMKIX

 

52470J464

Legg Mason Target Retirement 2050 Fund

 

I

 

LMJIX

 

52470J399

Legg Mason Target Retirement Fund

 

I

 

LMIMX

 

52470J332

Western Asset Adjustable Rate Income Fund

 

I

 

SBAYX

 

52468A889

Western Asset Corporate Bond Fund

 

I

 

SIGYX

 

52469F275

Western Asset Emerging Markets Debt Portfolio

 

I

 

SEMDX

 

52469F481

Western Asset Global High Yield Bond Fund

 

I

 

SHYOX

 

52469F432

Note1 Western Asset High Income Fund

 

I

 

SHIYX

 

52469F598

Western Asset Mortgage Backed Securities Fund

 

I

 

SGSYX

 

52469F333

Western Asset Short Term Bond Fund

 

I

 

SBSYX

 

52469E807

Note 3 Western Asset Short Term Yield Fund

 

I

 

WTYIX

 

52468A863

Western Asset Strategic Income Fund

 

I

 

SDSYX

 

52469F721

 

8

 

Legg Mason Class R- Funds with annual compensation on assets comprised of 12b-1 (which is currently 50bps) and  recordkeeping fees of 30bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Legg Mason Clearbridge Aggressive Growth Fund

 

R

 

LMPRX

 

52468C505

Legg Mason Clearbridge Appreciation Fund

 

R

 

LMPPX

 

52468E501

Legg Mason Clearbridge Equity Income Builder Fund

 

R

 

LMMRX

 

52469H271

Legg Mason Clearbridge Large Cap Growth Fund

 

R

 

LMPLX

 

52469H693

Legg Mason Clearbridge Mid Cap Core Fund

 

R

 

LMREX

 

52469H172

Note3 Legg Mason Clearbridge Mid Cap Growth Fund

 

R

 

TBD

 

52467P523

Legg Mason Clearbridge Small Cap Growth Fund

 

R

 

LMPOX

 

52470H690

 

Legg Mason Class R- Funds with annual compensation on assets comprised of 12b-1 (which is currently 50bps) and recordkeeping fees of 25bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Legg Mason Batterymarch U.S. Large Cap Equity Fund

 

R

 

LMUOX

 

52469H313

Legg Mason BW Absolute Return Opportunities Fund

 

R

 

LBAFX

 

524686680

Note 3 Legg Mason BW Diversified Large Cap Value Fund

 

R

 

TBD

 

524686748

Legg Mason BW Global Opportunities Bond Fund

 

R

 

LBORX

 

524686367

Legg Mason BW International Opportunities Bond Fund

 

R

 

LWORX

 

524686631

Legg Mason Target Retirement 2015 Fund

 

R

 

LMFRX

 

52470J878

Legg Mason Target Retirement 2020 Fund

 

R

 

LMWRX

 

52470J811

Legg Mason Target Retirement 2025 Fund

 

R

 

LMXRX

 

52470J746

Legg Mason Target Retirement 2030 Fund

 

R

 

LMQRX

 

52470J670

Legg Mason Target Retirement 2035 Fund

 

R

 

LMRRX

 

52470J613

Legg Mason Target Retirement 2040 Fund

 

R

 

LMYRX

 

52470J548

Legg Mason Target Retirement 2045 Fund

 

R

 

LMKRX

 

52470J472

Legg Mason Target Retirement 2050 Fund

 

R

 

LMJRX

 

52470J415

Legg Mason Target Retirement Fund

 

R

 

LMERX

 

52470J340

 

Legg Mason Class R- Funds with annual compensation on assets comprised of 12b-1 (which is currently 50bps) and recordkeeping fees of 20bps.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Legg Mason Batterymarch Emerging Markets Trust

 

R

 

LBERX

 

524686185

Legg Mason Batterymarch International Equity Trust

 

R

 

LMIRX

 

524686250

Note 3Legg Mason Batterymarch U.S. Small Cap Equity Portfolio

 

R

 

LMBRX

 

524686417

Note 3Legg Mason Capital Management Disciplined Equity Research Fund

 

R

 

TBD

 

524686813

Legg Mason Capital Management Growth Trust

 

R

 

LMGRX

 

524686490

Legg Mason Capital Management Opportunity Trust

 

R

 

LMORX

 

52470B503

Legg Mason Capital Management Special Investment Trust

 

R

 

LMARX

 

524686441

Legg Mason Capital Management Value Trust

 

R

 

LMVRX

 

524686557

Note 3Legg Mason Strategic Real Return Fund

 

R

 

TBD

 

524686862

 

9

 

Legg Mason Class O - Funds with no annual compensation on assets.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Legg Mason ClearBridge Equity Fund

 

0

 

SABRX

 

524695103

 

Western Asset Class A- Funds with annual compensation on assets comprised of 12b-1 (which is currently 25bps) and recordkeeping fees of 25bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Western Asset Core Bond Fund

 

A

 

WABAX

 

957663495

Western Asset Core Plus Bond Fund

 

A

 

WAPAX

 

957663461

Western Asset Global Multi-Sector Fund

 

A

 

WALAX

 

957663438

Western Asset High Yield Fund

 

A

 

WAYAX

 

957663396

Western Asset Inflation Indexed Plus Bond Fund

 

A

 

WAFAX

 

957663362

Western Asset Intermediate Bond Fund

 

A

 

WATAX

 

957663339

Western Asset Non-U.S. Opportunity Bond Fund

 

A

 

WAOAX

 

957663263

Western Asset Total Return Unconstrained Fund

 

A

 

WAUAX

 

957663230

 

Western Asset Class FI- Funds with annual compensation on assets comprised of 12b-l (which is currently 25bps) and record keeping fees of 5bps.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Western Asset Total Return Unconstrained Fund

 

FI

 

WARIX

 

957663693

Western Asset Core Bond Fund

 

FI

 

WAPIX

 

957663404

Western Asset Core Plus Bond Fund

 

FI

 

WACIX

 

957663602

Note 3 Western Asset Enhanced Equity Fund

 

FI

 

TBD

 

957663784

Note 3 Western Asset Global Multi-Sector Fund

 

FI

 

WGMFX

 

957663727

Note 3 Western Asset High Yield Fund

 

FI

 

TBD

 

957663834

Western Asset Inflation Indexed Plus Bond Fund

 

FI

 

WATPX

 

957663875

Note 3 Western Asset Intermediate Bond Fund

 

FI

 

WAIFX

 

957663800

Note 3 Western Asset Limited Duration Bond Fund

 

FI

 

TBD

 

957663206

Note 3 Western Asset Money Market Fund

 

FI

 

TBD

 

957663768

Note 3Western Asset Non - US Opportunity Bond Fund

 

FI

 

TBD

 

957663859

Note 3 Western Asset US Govt Money Market Fund

 

FI

 

TBD

 

957663743

 

10

 

Western Asset Class I - Funds with annual compensation on assets comprised of recordkeeping fees of 15bps.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Western Asset Total Return Unconstrained Fund

 

I

 

WAARX

 

957663719

Western Asset Core Bond Fund

 

I

 

WATFX

 

957663305

Western Asset Core Plus Bond Fund

 

I

 

WACPX

 

957663503

Note 3 Western Asset Enhanced Equity Fund

 

I

 

TBD

 

957663792

Note 3 Western Asset Global Multi-Sector Fund

 

I

 

WGMIX

 

957663735

Western Asset High Yield Fund

 

I

 

WAHYX

 

957663842

Western Asset Inflation Indexed Plus Bond Fund

 

I

 

WAIIX

 

957663883

Western Asset Intermediate Bond Fund

 

I

 

WATIX

 

957663701

Note 3 Western Asset Money Market Fund

 

I

 

TBD

 

957663776

Note 3 Western Asset US Govt Money Market Fund

 

I

 

TBD

 

957663750

Western Asset Non - US Opportunity Bond Fund

 

I

 

WAFIX

 

957663867

 

Western Asset Class R - Funds with annual compensation on assets comprised of 12b-l (which is currently 50bps) and recordkeeping fees of 25bps. The recordkeeping fees may be comprised of fund payments, revenue share or a combination of the two.

 

Fund Name

 

Class

 

Ticker

 

CUSIP

Western Asset Core Bond Fund

 

R

 

WABRX

 

957663479

Western Asset Core Plus Bond Fund

 

R

 

WAPRX

 

957663446

Western Asset Global Multi-Sector Fund

 

R

 

WALRX

 

957663412

Western Asset High Yield Fund

 

R

 

WAYRX

 

957663370

Western Asset Inflation Indexed Plus Bond Fund

 

R

 

WAFRX

 

957663347

Western Asset Intermediate Bond Fund

 

R

 

WATRX

 

957663313

Western Asset Total Return Unconstrained Fund

 

R

 

WAORX

 

957663248

 

Note 1: Available to existing investors only.

Note 2: Not exchangeable. Only existing investors can continue to invest

Note 3: Currently unavailable for purchase. Please contact the distributor in advance to express sales interest or for more information, including when the share class/fund may be made available. The distributor will consider whether or not to make the requested share class/fund available for sale and may decline to do so in its sole discretion.

 

11

 

Payment methods listed below:

 

 

12b-1 Fees

Recordkeeping Fees

 

FOR HLIC:

Tax ID: [Redacted]

FOR HSD:

Tax ID: [Redacted]

 

 

ACH instructions:

ACH instructions:

Bank of America

Bank of America

Acct Name: Hartford Life Insurance

Acct Name: Hartford Securities Distribution Company

Company ABA # [Redacted]

ABA # [Redacted]

Acct# [Redacted]

Acct # [Redacted]

 

 

Wiring Instructions:

Wiring Instructions:

Bank of America

Bank of America

Acct Name: Hartford Life Insurance

Acct Name: Hartford Securities Distribution Company

Company ABA# [Redacted]

ABA# [Redacted]

Acct# [Redacted]

Acct# [Redacted]

 

 

Please make checks payable to:

Please make checks payable to:

Hartford Life Insurance Company

Hartford Securities Distribution Company

Attn: Finance, A3E/1

Attn: Finance, A3E/1

P.O. Box 2999

P.O. Box 2999

Hartford, CT 06104-2999

Hartford, CT 06104-2999

 

Wire, ACH and payment address are subject to change without necessitating an amendment and any such change will be communicated to Fund Distributor or Shareholder Services Agent by the Company.

 

12

 

FIFTH AMENDMENT TO

RETAIL FUND PARTICIPATION AGREEMENT

 

This Fifth Amendment to Retail Fund Participation  Agreement (“Amendment”) is entered into by and among Legg Mason Investor Services, LLC (the “Distributor”), Hartford Life Insurance Company (the “Service Provider”) acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”) and Hartford Securities Distribution Company, Inc. (“HSD”), collectively (the “Parties”).

 

WHEREAS, the Parties entered into a Retail Fund Participation Agreement dated December 16, 2002, as amended April 24, 2007, February 5, 2009, December 4, 2009 and August 1, 2012 (the “Agreement’’). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;

 

WHEREAS, the Parties desire to amend the Agreement;

 

NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:

 

l.           Schedule  B of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule B of the Agreement.  Service Provider’s compensation will be as shown in Schedule B.

 

2.                                 Notices. Notices required by this Agreement should be sent as follows:

 

Service Provider:

Hartford Life Insurance Company

 

c/o Massachusetts Mutual Life Insurance Company

 

1295 State Street, MIP M200-INVST

 

Springfield, MA 01111

 

Attention: RS Fund Operations

 

Telephone: (860) 562-2470

 

Facsimile: (860) S62-2283

 

cc:       Law Department

 

Attention:

 

Telephone: [Redacted]

 

Facsimile:

 

 

Distributor:

c/o Legg Mason

 

100 First Stamford Place, 5th Floor

 

Stamford, CT 06902

 

 

 

Attn:        Business Implementation

 

Fax:         877-563-3019

 

3.         Effectiveness of Payment Obligations, No compensation, fees or payment obligations contemplated by this Amendment will accrue until the date that the Amendment is executed by  the Distributor.

 

1

 

For  the  purpose of  referring to this Amendment, the date of this Amendment shall be the date of acceptance by Legg Mason Investor Services, LLC.

 

Hartford Life Insurance Company,

 

 

By Massachusetts Mutual Life Insurance

 

Hartford Securities Distribution Company, Inc.

Company, Its Administrator

 

 

 

 

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

 

Name:

[Redacted]

Title:

Senior Vice President

 

Title:

CCO

Date:

5/3/16

 

Date:

5/4/16

 

Legg Mason Investor Services, LLC

 

 

 

By:

[Redacted]

 

Name:

[Redacted]

 

Title:

Director

 

Date:

4/28/16

 

 

Western Asset Management Company

(solely as a limited party for the purpose of approving

Those fee payment obligations allocated to Distributor

On behalf of the Western Asset family of funds)

 

By:

[Redacted]

 

Name:

[Redacted]

 

Title:

Head of New York Operations/Client Service/Marketing

 

Date:

 

 

2

 

SCHEDULE B

 

All Funds shall pay 12b-1 fees in the amount as stated in each Fund’s then current prospectus.

 

Class A

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge All Cap Value Fund
ClearBridge Appreciation Fund

ClearBridge Dividend Strategy Fund
ClcarBridge International Small Cap Fund
ClearBridge International Value Fund
ClearBridge Large Cap Growth Fund
ClearBridge Large Cap Value Fund
ClearBridge Mid Cap Fund

ClearBridge Small Cap Growth Fund
ClearBridge Small Cap Value Fund
ClcarBridge Tactical Dividend Income Fund

QS Global Equity Fund

QS U.S. Large Cap Equity Fund

Western Asset Adjustable Rate  Income Fund
Western Asset Corporate Bond Fund

Western Asset Emerging Markets Debt Fund

Western Asset Global High Yield Bond Fund

Western Asset Global Strategic Income Fund

Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund

Western Asset Short-Term Bond Fund

 

30bps

 

 

 

Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund

Leu Mason BW International Opportunities Bond Fund

 

25bps

ClearBridge International Growth Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Fund
ClearBridge Value Trust

Legg Mason Opportunity Trust
Permal Alternative Core Fund
QS Conservative Growth Fund
QS Defensive Growth Fund

QS Emerging Markets Fund

QS Growth Fund

QS International Equity Fund

QS Moderate Growth Fund

QS Strategic Real Return Fund

QS U.S. Small Capitalization Equity Fund

 

15bps

QS S&P 500 Index Fund

 

0bps

Western Asset Series of Funds:

 

 

Western Asset Core Bond Fund

 

25bps

 

3

 

Western Asset Core Plus Bond Fund

Western Asset Global Government Bond Fund
Western Asset High Yield Fund

Western Asset Inflation Indexed Plus Bond Fund

Western Asset Intermediate Bond Fund

Western Asset Total Return Unconstrained Fund

 

 

 

Class FI

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth Fund
ClearBridge Small Cap Growth Fund

QS U.S. Large Cap Equity Fund

 

25bps

ClearBridge Mid Cap Growth Fund
Permal Alternative Core Fund

Western Asset Emerging Markets Debt Fund
Western Asset Short Term Yield Fund

 

20bps

ClearBridge International Growth Fund

ClearBridge Small Cap Fund
ClearBridge Value Trust

Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund

Legg Mason  BW  International Opportunities Bond Fund
Legg Mason Opportunity Trust

QS Emerging Markets Fund

QS International Equity Fund

QS Strategic Real Return Fund

QS U.S. Small Capitalization Equity Fund

 

15bps

Western Asset Series of Fund:

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset Enhanced Equity Fund

Western Asset Global Government Bond Fund
Western Asset High Yield  Fund

Western Asset Inflation Indexed Plus Bond Fund

Western Asset Intermediate Bond Fund
Western Asset Money Market Fund

Western Asset Total Return Unconstrained Fund

Western Asset US Govt Money Market Fund

 

5bps

 

Class I

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge All Cap Value Fund

ClearBridge Appreciation Fund

ClearBridge Dividend Strategy Fund

 

15bps

 

4

 

ClearBridge International Growth Fund
ClearBridge International Small Cap Fund
ClearBridge International Value Fund
ClearBridge Large Cap Growth Fund
ClearBridge Large Cap Value Fund
ClearBridge Mid Cap Fund

ClearBridge  Mid Cap Growth Fund
ClearBridge Small Cap Fund

ClearBridge Small  Cap Growth Fund
ClearBridge  Small  Cap Value Fund

ClearBridge Tactical Dividend Income Fund
ClearBridge Value Trust

Legg Mason BW Absolute Return Opportunities Fund

Legg Mason  BW  Diversified Large  Cap Value Fund

Legg Mason  BW  Global  Opportunities Bond  Fund

Legg Mason  BW  International Opportunities Bond Fund

Legg Mason Opportunity Trust

Permal Alternative Core Fund
QS Conservative Growth Fund
QS Defensive Growth Fund
QS Emerging Markets Fund
QS Global Equity Fund

QS Growth Fund

QS International Equity Fund

QS Moderate Growth Fund

QS Strategic Real Return Fund

QS U.S. Large Cap Equity Fund

QS U.S. Small Capitalization Equity Fund
Western Asset Adjustable Rate Income Fund
Western Asset Corporate Bond Fund

Western Asset Emerging Markets Debt Fund
Western Asset Global High Yield Bond Fund
Western Asset Global Strategic Income Fund

Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund
Western Asset Short-Term Bond Fund

Western Asset Short Term Yield Fund

 

 

Western Asset Series of Funds:

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset Enhanced Equity Fund

Western Asset Global Government Bond Fund

Western Asset High Yield Fund

Western Asset Inflation Indexed Plus Bond Fund

Western Asset Intermediate Bond Fund
Western Asset Money Market Fund

Western  Asset Total Return Unconstrained Fund

Western Asset US Govt Money Market Fund

 

15bps

 

5

 

Class O

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Large Cap Growth Fund

 

0bps

 

Class R

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth  Fund
ClearBridge Mid Cap Fund
ClearBridge Mid Cap Growth Fund

ClearBridge Small Cap Growth Fund

 

30bps

Legg Mason BW Absolute Return Opportunities Fund
Legg  Mason  BW Diversified Large Cap Value Fund
Legg  Mason  BW Global Opportunities Bond Fund

Legg  Mason  BW International Opportunities Bond Fund

QS U.S. Large Cap Equity Fund

 

25bps

ClearBridge International Growth Fund

ClearBridge Small Cap Fund

ClearBridge Value Trust

Legg Mason Opportunity Trust
QS Emerging Markets Fund

QS International Equity Fund

QS Strategic Real Return Fund

OS U.S. Small Capitalization Equity Fund

 

20bps

Western Asset Series of Funds:

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund

Western  Asset Global Government Bond Fund
Western Asset High Yield Fund

Western Asset Inflation Indexed Plus Bond Fund

Western Asset Intermediate Bond Fund

 

25bps

 

6

 

SIXTH AMENDMENT TO

RETAIL FUND PARTICIPATlON AGREEMENT

 

This Sixth Amendment to Retail Fund Participation Agreement (“Amendment”) is entered into by and among Legg Mason Investor Services, LLC (the “Distributor’’), Hartford Life Insurance Company (the “Service Provider”) acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”) and Hartford Securities Distribution Company, Inc. (“HSD”), collectively (the “Parties”).

 

WHEREAS, the Parties entered into a Retail Fund Participation Agreement dated December 16, 2002, as amended April 24, 2007, February 5, 2009, December 4, 2009, August 1, 2012, and April 28, 2016 (the “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;

 

WHEREAS, the Parties desire to amend the Agreement;

 

NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:

 

1.       Schedule B of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule B of the Agreement. Service Provider’s compensation will be as shown in Schedule B.

 

2.     Effectiveness of Payment Obligations. No compensation, fees or payment obligations contemplated by this Amendment will accrue until the date that the Amendment is executed by the Distributor.

 

For the purpose of referring to this Amendment, the date of this Amendment shall be the date of acceptance by Legg Mason Investor Services, LLC.

 

Hartford Life Insurance Company,

 

 

By Massachusetts Mutual Life Insurance

 

Hartford Securities Distribution Company,

Company, Its Administrator

 

Inc.

 

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

 

Names:

[Redacted]

Title:

Senior Vice President

 

Title:

CCO

Date:

8/11/16

 

Date:

8/16/16

 

 

Legg Mason Investor Services, LLC

Western Asset Management Company

 

(solely as a limited party for the purpose of approving

 

those fee payment obligations allocated to Distributor

 

on behalf of the Western Asset family of funds)

 

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

 

Name:

[Redacted]

Title:

Managing Director

 

Title:

Head of New York Operations/Client

 

 

 

 

Service/Marketing

Date:

8/26/16

 

Date:

8/29/16

 

 

SCHEDULE B

 

All Funds shall pay 12b-1 fees in the amount as stated in each Fund’s then current prospectus.

 

Class A

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge All Cap Value Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge International Small Cap Fund
ClearBridge International Value Fund
ClearBridge Large Cap Growth Fund
ClearBridge Large Cap Value Fund
ClearBridge Mid Cap Fund
ClearBridge Small Cap Growth Fund
ClearBridge Small Cap Value Fund
ClearBridge Tactical Dividend Income Fund
QS Global Equity Fund
QS U.S. Large Cap Equity Fund
Western Asset Adjustable Rate Income Fund
Western Asset Corporate Bond Fund
Western Asset Emerging Markets Debt Fund
Western Asset Global High Yield Bond Fund
Western Asset Global Strategic Income Fund
Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund
Western Asset Short-Term Bond Fund

 

30bps

Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
QS Conservative Growth Fund
QS International Equity Fund

 

25bps

ClearBridge International Growth Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Fund ClearBridge Value Trust
Legg Mason Opportunity Trust Permal Alternative Core Fund
QS Defensive Growth Fund
QS Emerging Markets Fund
QS Growth Fund
QS Moderate Growth Fund
QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

15bps

QS S&P 500 Index Fund

 

0bps

Western Asset Series of Funds:

 

 

Western Asset Core Bond Fund

 

25bps

 

2

 

Western Asset Core Plus Bond Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond fund
Western Asset Total Return Unconstrained Fund

 

 

 

Class FI

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth Fund
ClearBridge Small Cap Growth Fund
QS U.S. Large Cap Equity Fund

 

25bps

ClearBridge Mid Cap Growth Fund
Permal Alternative Core Fund
Western Asset Emerging Markets Debt Fund
Western Asset Short Term Yield Fund

 

20bps

ClearBridge International Growth Fund
ClearBridge Small Cap Fund
ClearBridge Value Trust
Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
Legg Mason Opportunity Trust
QS Emerging Markets Fund
QS International Equity Fund
QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

15bps

Western Asset Series of Fund:

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset Enhanced Equity Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund
Western Asset Money Market Fund
Western Asset Total Return Unconstrained Fund
Western Asset US Govt Money Market Fund

 

5bps

 

Class I

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge All Cap Value Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge International Growth Fund
ClearBridge International Small Cap Fund

 

15bps

 

3

 

ClearBridge International Value Fund
ClearBridge Large Cap Growth Fund
ClearBridge Large Cap Value Fund
ClearBridge Mid Cap Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Fund
ClearBridge Small Cap Growth Fund
ClearBridge Small Cap Value Fund
ClearBridge Tactical Dividend Income Fund
ClearBridge Value Trust
Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
Legg Mason Opportunity Trust
Permal Alternative Core Fund
QS Conservative Growth Fund
QS Defensive Growth Fund
QS Emerging Markets Fund
QS Global Equity Fund
QS Growth Fund
QS International Equity Fund
QS Moderate Growth Fund
QS Strategic Real Return Fund
QS U.S. Large Cap Equity Fund
QS U.S. Small Capitalization Equity Fund
Western Asset Adjustable Rate Income Fund
Western Asset Corporate Bond Fund
Western Asset Emerging Markets Debt Fund
Western Asset Global High Yield Bond Fund
Western Asset Global Strategic Income Fund
Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund
Western Asset Short-Term Bond Fund
Western Asset Short Term Yield Fund

 

 

Western Asset Series of Funds:

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset Enhanced Equity Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund
Western Asset Money Market Fund
Western Asset Total Return Unconstrained Fund
Western Asset US Govt Money Market Fund

 

15bps

 

Class O

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Large Cap Growth Fund

 

0bps

 

4

 

Class R

 

Recordkeeping Fees Per Annum

Legg Mason Series of Funds:

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth Fund
ClearBridge Mid Cap Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Growth Fund

 

30bps

Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
QS Conservative Growth Fund
QS International Equity Fund
OS U.S. Large Cap Equity Fund

 

25bps

ClearBridge International Growth Fund
ClearBridge Small Cap Fund
ClearBridge Value Trust
Legg Mason Opportunity Trust
QS Emerging Markets Fund
QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

20bps

Western Asset Series of Funds:

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund

 

25bps

 

5

 

SEVENTH  AMENDMENT TO

RETAIL FUND PARTICIPATION AGREEMENT

 

This Seventh Amendment to Retail Fund Participation Agreement (“Amendment”) is entered into by and among Legg Mason Investor Services, LLC (the “Distributor” ), Hartford Life Insurance Company (the “Service Provider”) acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”) and Hartford Securities Distribution Company, Inc. (“HSD”), collectively (the “Parties”).

 

WHEREAS, the Parties entered into a Retail Fund Participation Agreement dated December 16, 2002, as amended April 24, 2007, February 5, 2009, December 4, 2009, August 1, 2012, April 28, 2016 and August 26, 2016 (the “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;

 

WHEREAS, the Parties desire to amend the Agreement;

 

NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein , the Parties agree as follows:

 

1.                                      Schedule B of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule B of the Agreement. Service Provider’s compensation will be as shown in Schedule B.

 

2.                                      Effectiveness of Payment Obligations. No compensation, fees or payment obligations contemplated by this Amendment will accrue until the date that the Amendment is executed by the Distributor.

 

3.                                      Other Terms. Other than the foregoing, all other terms and conditions of the Agreement shall remain unchanged and in full force and effect and are ratified and confirmed in all respects by the Parties to this Amendment.

 

For the purpose of referring to this Amendment, the date of this Amendment shall be the date of acceptance by Legg Mason Investor Services, LLC.

 

Hartford Life Insurance Company,

 

 

By Massachusetts Mutual Life Insurance

 

Hartford Securities Distribution Company,

Company, Its Administrator

 

Inc.

 

 

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

 

Name:

[Redacted]

Title:

Senior Vice President

 

Title:

VP

Date:

12/1/2017

 

Date:

1/9/18

 

1

 

Legg Mason Investor Services, LLC

 

Western Asset Management Company

 

 

 

solely as a limited party for the purpose of approving

 

 

 

those fee payment obligations allocated to Distributor

 

 

 

on behalf of the Western Asset family of funds)

 

 

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

 

Names:

[Redacted]

Title:

Managing Director

 

Title:

Director

Date:

1/10/2018

 

Date:

1/17/2018

 

2

 

SCHEDULE B

 

All Funds shall pay 12b-1 fees in the amount as stated in each Fund’s then current prospectus.

 

Funds/Series of Funds

 

Recordkeeping
Fees Per Annum
(paid from Fund
Assets)

 

Revenue Share
Fees Per Annum
(paid from Legg
Mason Assets)

 

Total Fees Per
Annum
(Recordkeeping Fees
plus Revenue Share
Fees)

 

 

 

 

 

 

 

Class A

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Aggressive Growth Fund
ClearBridge All Cap Value Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge International Small Cap Fund
ClearBridge International Value Fund
ClearBridge Large Cap Growth Fund
ClearBridge Large Cap Value Fund
ClearBridge Mid Cap Fund
ClearBridge Small Cap Growth Fund
ClearBridge Small Cap Value Fund
ClearBridge Tactical Dividend Income Fund
QS Global Equity Fund
QS U.S. Large Cap Equity Fund
Western Asset Adjustable Rate Income Fund
Western Asset Corporate Bond Fund
Western Asset Emerging Markets Debt Fund
Western Asset Global High Yield Bond Fund
Western Asset Global Strategic Income Fund
Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund
Western Asset Short-Term Bond Fund

 

20bps

 

l0bps

 

30bps

Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
QS Conservative Growth Fund
QS International Equity Fund

 

20bps

 

5bps

 

25bps

ClearBridge International Growth Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Fund
ClearBridge Value Trust EnTrustPermal Alternative Core Fund
QS Defensive Growth Fund
QS Growth Fund
QS Moderate Growth Fund
QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

15bps

 

0bps

 

15bps

 

3

 

QS S&P 500 Index Fund

 

0bps

 

0bps

 

0bps

Western Asset Series of Funds:

 

 

 

 

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund
Western Asset Total Return Unconstrained Fund

 

20bps

 

5bps

 

25bps

 

Class Fl

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth Fund
ClearBridge Small Cap Growth Fund
QS U.S. Large Cao Equity Fund

 

20bps

 

5bps

 

25bps

ClcarBridge Mid Cap Growth Fund
EnTrustPermal Alternative Core Fund
Western Asset Emerging Markets Debt Fund
Western Asset Short Term Yield Fund

 

20bps

 

0bps

 

20bps

ClearBridge International Growth Fund
ClearBridge Small Cap Fund
ClearBridge Value Trust
Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
QS international Equity Fund
QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

15bps

 

0bps

 

l5bps

Western Asset Series of Funds

 

 

 

 

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset Enhanced Equity Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund
Western Asset Money Market Fund
Western Asset Total Return Unconstrained Fund
Western Asset US Govt Money Market Fund

 

5bps

 

0bps

 

5bps

 

Class I

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Aggressive Growth Fund
ClearBridge All Cap Value Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge International Growth Fund

 

15bps

 

0bps

 

15bps

 

4

 

ClearBridge International Small Cap Fund
ClearBridge International Value Fund
ClearBridge Large Cap Growth Fund
ClearBridge Large Cap Value Fund
ClearBridge Mid Cap Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Fund
ClearBridge Small Cap Growth Fund
ClearBridge Small Cap Value Fund
ClearBridge Tactical Dividend Income Fund
ClearBridge Value Trust
EnTrustPermal Alternative Core Fund
Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
QS Conservative Growth Fund
QS Defensive Growth Fund
QS Global Equity Fund
QS Growth Fund
QS International Equity Fund
QS Moderate Growth Fund
QS Strategic Real Return Fund
QS U.S. Large Cap Equity Fund
QS U.S. Small Capitalization Equity Fund
Western Asset Adjustable Rate Income Fund
Western Asset Corporate Bond Fund
Western Asset Emerging Markets Debt Fund
Western Asset Global High Yield Bond Fund
Western Asset Global Strategic Income Fund
Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund
Western Asset Short Term Yield Fund
Western Asset Short-Term Bond Fund

 

 

 

 

 

 

Western Asset Series of Funds

 

 

 

 

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset Enhanced Equity Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund
Western Asset Money Market Fund
Western Asset Total Return Unconstrained Fund
Western Asset US Govt Money Market Fund

 

15bps

 

0bps

 

15bps

 

Class O

 

 

 

 

 

 

Legg Mason Series of Funds

 

 

 

 

 

 

ClearBridge Large Cap Growth Fund

 

0bps

 

0bps

 

0bps

 

5

 

Class R

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth Fund
ClearBridge Mid Cap Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Growth Fund

 

20bps

 

10bps

 

30bps

Legg Mason BW Absolute Return Opportunities Fund
Legg Mason BW Diversified Large Cap Value Fund
Legg Mason BW Global Opportunities Bond Fund
Legg Mason BW International Opportunities Bond Fund
QS Conservative Growth Fund
QS International Equity Fund
QS U.S. Large Cap Equity Fund

 

20bps

 

5bps

 

25bps

ClearBridge International Growth Fund
ClearBridge Small Cap Fund
ClearBridge Value Trust QS Strategic Real Return Fund
OS U.S . Small Capitalization Equity Fund

 

20bps

 

0bps

 

20bps

Western Asset Series of Funds:

 

 

 

 

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund

 

20bps

 

5bps

 

25bps

 

6

 

EIGHTH AMENDMENT TO

RETAIL FUND PARTICIPATION AGREEMENT

 

This Eighth Amendment to Retail Fund Participation Agreement (“Amendment”) is entered into by and among Legg Mason Investor Services, LLC (the “Distributor”), Talcott Resolution Life Insurance Company (formerly named Hartford Life Insurance Company) (the  “Service  Provider”) acting through its Administrator and attorney-in-fact, Massachusetts Mutual Life Insurance Company (“MassMutual”) and Talcott Resolution Distribution Company, Inc. (formerly named Hartford Securities Distribution Company, Inc.) (“TRD”), collectively (the “Parties”).

 

WHEREAS, the Parties entered into a Retail Fund Participation Agreement dated December 16, 2002, as last amended January 10, 2018 (the “Agreement”). Capitalized terms used herein and not otherwise defined herein shall have the meanings assigned to such terms in the Agreement;

 

WHEREAS, the Parties desire to amend the Agreement;

 

NOW, THEREFORE, in consideration of these premises and the terms and conditions set forth herein, the Parties agree as follows:

 

1. All references to Hartford Life Insurance Company shall be replaced with Talcott Resolution Life Insurance Company.

 

2.                                      All references to Hartford Securities Distribution Company, Inc. shall be replaced with Talcott Resolution Distribution Company, Inc.

 

3.                                      Schedule B of this Amendment, attached hereto, supersedes and replaces in its entirety the Schedule B of the Agreement. Service Provider’s compensation will be as shown in Schedule B.

 

4.                                      The following language is hereby added to Section 7 of the First Amendment to Retail Fund Participation Agreement dated April 24, 2007:

 

Service Provider, TRD and MassMutual also agree to provide any information about themselves (including Service Provider, TRD and MassMutual’s beneficial ownership) that may be requested by Distributor to fulfill Distributor’s know-your-customer and customer identification obligations.

 

5.                                      Notices. Notices required by this Agreement should be sent as follows:

 

Service Provider:                                                     Massachusetts Mutual Life Insurance Company

As Administrator for Talcott  Resolution  Life Insurance Company

100 Bright Meadow Blvd. Enfield, Connecticut 06082

Attention: RS Fund Operations, MIP M200-INVST

Telephone: (860) 562-2470

Facsimile: (860) 562-2283

 

with a copy to:

Law Department,  Retirement Services

 

1

 

Massachusetts Mutual Life Insurance

Company 100 Bright Meadow Blvd.

Enfield, Connecticut  06082

 

If to TRD:                                                                                       Talcott Resolution  Distribution Company,  Inc.

1 Griffin Road North

Windsor, CT 06095

 

Distributor:                                                                                   c/o Legg Mason

100 First Stamford Place, 5th Floor

Stamford, CT 06902

 

Attn:                    Business Implementation

Email: Contracts-BusinessDevelopmentGroup@leggmason.com

 

6.                                      Effectiveness of Pavment Obligations. No compensation, fees or payment obligations contemplated by this Amendment will accrue until the date that the Amendment is executed by the Distributor.

 

7.                                      Other Terms. Other than the foregoing, all other terms and conditions of the Agreement shall remain unchanged and in full force and effect and are ratified and confirmed in all respects by the Parties to this Amendment.

 

For the purpose of referring to this Amendment, the date of this Amendment shall be the date of acceptance by Legg Mason Investor Services, LLC.

 

Talcott Resolution Life Insurance Company,

 

 

By Massachusetts Mutual Life Insurance

 

Talcott Resolution Distribution Company,

Company, Its Administrator

 

Inc.

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

 

Name:

[Redacted]

Title:

Head of Investment Solution Innovation

 

Title:

President & CEO

Date:

2//5/19

 

Date:

2/10/19

 

 

 

Legg Mason Investor Services, LLC

 

Western Asset Management Company

 

 

solely as a limited party for the purpose of approving those fee payment obligations allocated to Distributor on behalf of the Western Asset family of funds)

 

 

 

By:

[Redacted]

 

By:

[Redacted]

Name:

[Redacted]

 

Name:

[Redacted]

Title:

Managing Director

 

Title:

Director

Date:

2/1/2019

 

Date:

2/1/2019

 

2

 

SCHEDULE B

 

All Funds shall pay l2b-l fees in the amount as stated in each Fund’s then current prospectus.

 

Funds/Series of Funds

 

Recordkeeping
Fees Per Annum
(paid from Fund
Assets)

 

Revenue Share
Fees Per Annum
(paid from Legg
Mason Assets)

 

Total Fees Per
Annum
(Recordkeeping Fees
plus Revenue Share
Fees)

Class A

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Aggressive Growth Fund

ClearBridge All Cap Value Fund

ClearBridge Appreciation Fund

ClearBridge Dividend Strategy Fund

ClearBridge International Small Cap Fund

ClearBridge International Value Fund

ClearBridge Large Cap Growth Fund

ClearBridge Large Cap Value Fund

ClearBridge Mid Cap Fund
ClearBridge Small Cap Growth Fund

ClearBridge Small Cap Value Fund

ClearBridge Tactical Dividend Income Fund

QS Global Equity Fund
QS U.S. Large Cap Equity Fund
Western Asset Adjustable Rate Income Fund

Western Asset Corporate Bond Fund

Western Asset Emerging Markets Debt Fund

Western Asset Global High Yield Bond Fund

Western Asset Income Fund
Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund

Western Asset Short-Term Bond Fund

 

20bps

 

10bps

 

30bps

BrandywineGLOBAL - Diversified US Large Cap Value Fund
BrandywineGLOBAL - Global Opportunities Bond Fund
BrandywineGLOBAL - Global Unconstrained Bond Fund

BrandywineGLOBAL - International Opportunities Bond Fund
QS Conservative Growth Fund
QS International Equity Fund

 

20bps

 

5bps

 

25bps

ClearBridge International Growth Fund

ClearBridge Mid Cap Growth Fund

ClearBridge Small Cap Fund

ClearBridge Value Trust
EnTrustPermal Alternative Core Fund

 

15bps

 

0bps

 

15bps

 

3

 

QS Defensive Growth Fund
QS Growth Fund
QS Moderate Growth Fund
QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

 

 

 

 

 

QS S&P 500 Index Fund

 

0bps

 

0bps

 

0bps

Western Asset Series of Funds:

 

 

 

 

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund
Western Asset Total Return Unconstrained Fund

 

20bps

 

5bps

 

25bps

 

 

 

 

 

 

 

Class FI

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth Fund
ClearBridge Small Cap Growth Fund
QS U.S. Large Cap Equity Fund

 

20bps

 

5bps

 

25bps

ClearBridge Mid Cap Growth Fund
EnTrustPermal Alternative Core Fund
Western Asset Emerging Markets Debt Fund
Western Asset Short Term Yield Fund

 

20bps

 

0bps

 

20bps

BrandywineGLOBAL - Diversified US Large Cap Value Fund
BrandywineGLOBAL - Global Opportunities Bond Fund
BrandywineGLOBAL - Global Unconstrained Bond Fund BrandywineGLOBAL - International Opportunities Bond Fund
ClearBridge International Growth Fund
ClearBridge Small Cap Fund

ClearBridge Value Trust
QS International Equity Fund

QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

l5bps

 

0bps

 

15bps

Western Asset Series of Funds:

 

 

 

 

 

 

Western Asset Core Bond Fund

Western Asset Core Plus Bond Fund

Western Asset Enhanced Equity Fund

Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund

Western Asset Intermediate Bond Fund
Western Asset Money Market Fund
Western Asset Total Return Unconstrained Fund
Western Asset US Govt Money Market Fund

 

5bps

 

0bps

 

5bps

 

4

 

Class I

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

BrandywineGLOBAL - Diversified US Large Cap Value Fund
BrandywineGLOBAL - Global Opportunities Bond Fund

BrandywineGLOBAL - Global Unconstrained Bond Fund

BrandywineGLOBAL - International Opportunities Bond Fund
ClearBridge Aggressive Growth Fund
ClearBridge All Cap Value Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge International Growth Fund
ClearBridge International Small Cap Fund
ClearBridge International Value Fund
ClearBridge Large Cap Growth Fund
ClearBridge Large Cap Value Fund
ClearBridge Mid Cap Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Fund
ClearBridge Small Cap Growth Fund
ClearBridge Small Cap Value Fund
ClearBridge Tactical Dividend Income Fund
ClearBridge Value Trust
EnTrustPermal Alternative Core Fund
QS Conservative Growth Fund
QS Defensive Growth Fund
QS Global Equity Fund
QS Growth Fund
QS International Equity Fund
QS Moderate Growth Fund
QS Strategic Real Return Fund
QS U.S. Large Cap Equity Fund
QS U.S. Small Capitalization Equity Fund
Western Asset Adjustable Rate Income Fund
Western Asset Corporate Bond Fund
Western Asset Emerging Markets Debt Fund
Western Asset Global High Yield Bond Fund
Western Asset Income Fund
Western Asset Mortgage Backed Securities Fund
Western Asset Short Duration High Income Fund
Western Asset Short Term Yield Fund
Western Asset Short-Term Bond Fund

 

15bps

 

0bps

 

15bps

Western Asset Series of Funds:

 

 

 

 

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset Enhanced Equity Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund

 

15bps

 

0bps

 

15bps

 

5

 

Western Asset Intermediate Bond Fund
Western Asset Money Market Fund
Western Asset Total Return Unconstrained Fund
Western Asset US Govt Money Market Fund

 

 

 

 

 

 

 

 

 

 

 

 

 

Class IS

 

 

 

 

 

 

Legg Mason Series of Funds

 

No compensation

 

No compensation

 

No compensation

Western Asset Series of Funds

 

No compensation

 

No compensation

 

No compensation

 

 

 

 

 

 

 

Class O

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Large Cap Growth Fund

 

0bps

 

0bps

 

0bps

 

 

 

 

 

 

 

Class R

 

 

 

 

 

 

Legg Mason Series of Funds:

 

 

 

 

 

 

ClearBridge Aggressive Growth Fund
ClearBridge Appreciation Fund
ClearBridge Dividend Strategy Fund
ClearBridge Large Cap Growth Fund
ClearBridge Mid Cap Fund
ClearBridge Mid Cap Growth Fund
ClearBridge Small Cap Growth Fund

 

20bps

 

I0bps

 

30bps

BrandywineGLOBAL - Diversified US Large Cap Value Fund
BrandywineGLOBAL - Global Opportunities Bond Fund
BrandywineGLOBAL - Global Unconstrained Bond Fund
BrandywineGLOBAL - International Opportunities Bond Fund
QS Conservative Growth Fund
QS International Equity Fund
QS U.S. Large Cao Equity Fund

 

20bps

 

5bps

 

25bps

ClearBridge International Growth Fund
ClearBridge Small Cap Fund ClearBridge Value Trust
QS Strategic Real Return Fund
QS U.S. Small Capitalization Equity Fund

 

20bps

 

0bps

 

20bps

Western Asset Series of Funds:

 

 

 

 

 

 

Western Asset Core Bond Fund
Western Asset Core Plus Bond Fund
Western Asset High Yield Fund
Western Asset Inflation Indexed Plus Bond Fund
Western Asset Intermediate Bond Fund

 

20bps

 

5bps

 

25bps

 

6