EX-24 17 ex24b8116legg3amdfpa.htm EXHIBIT 24(B)(8.116) LEGG MASON AMD 3 TO FPA ex24b8116legg3amdfpa.htm - Generated by SEC Publisher for SEC Filing

 

Exhibit 24(b)(8.116)

THIRD AMENDMENT TO

FUND PARTICIPATION AGREEMENT

 

 

This Third Amendment to Fund Participation Agreement (“Amendment”) is entered into by and among Legg Mason Investor Services, LLC (the “Distributor”), Voya Retirement Insurance and Annuity Company (formerly ING Life Insurance and Annuity Company) (“VRIAC”) and Voya Financial Partners, LLC (formerly ING Financial Advisers, LLC) (“Voya Financial”), collectively (the “Parties”).

 

WHEREAS, the Parties entered into a Fund Participation Agreement dated February 1, 2001, as amended March 1, 2011 and September 27, 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:

 

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

 

2. Anti-Bribery & Corruption.  The Parties represent and warrant that they understand the requirements of all applicable laws, rules or regulations relating to bribery and corruption both in the Parties’ home jurisdictions and in any other jurisdictions which may have a connection to the services performed by the Parties in connection with this Agreement. VRIAC and Voya Financial further represent and warrant that they will fully and faithfully comply with all requirements of such laws, rules or regulations in connection with all activities under or in any way connected with this Agreement and such requirements that the Distributor may notify to VRIAC and Voya Financial.

3.  Paragraph 4 of the First Amendment to Fund Participation Agreement dated March 1, 2011 is hereby deleted in its entirety. 

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

 

VRIAC/Voya Financial:                      VRIAC/Voya Financial_____

                                                                                       ___________________________

                                                                           Attn:    Jacqueline Salamon___________

                                                                          

                                                                           Fax:     860-580-4934________________

 

                                                                          

      Distributor:                                       c/o Legg Mason

                                                               100 Stamford Place, 5th Floor

                                                               Stamford, CT 06902

 

                                                               Attn:       Business Implementation

                                                               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.  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.  

 

Legg Mason Investor Services, LLC                         Voya Retirement Insurance and Annuity Company

 

By:       /s/ Michael P. Mattera                                      By:       /s/ Lisa Gilarde                        

Name:  Michael P. Mattera                                           Name:  Lisa Gilarde

Title:    Director                                                           Title:    Vice President

Date:    12/17/14                                                          Date:   11/25/14

                                                                       

 

Western Asset Management Company                      Voya Financial Partners, LLC

(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:       /s/ Michael A. Van Raaphorst                          By:       /s/ James Nichols IV               

Name:  Michael A. Van Raaphorst                               Name:  James Nichols IV

Title:    Head of New York Operations/Client Service/Marketing     Title:    President and Chief Executive Officer

Date:    ___________________________                  Date:   12/2/14

 

 

SCHEDULE B

 

Legg Mason Class A – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

ClearBridge Aggressive Growth Fund

A

SHRAX

52468C109

ClearBridge All Cap Value Fund

A

SHFVX

52469C108

ClearBridge Appreciation Fund

A

SHAPX

52468E105

ClearBridge Equity Fund

A

LMQAX

524695202

ClearBridge Equity Income Fund

A

SOPAX

52469H636

ClearBridge International Value Fund

A

SBIEX

52469X607

ClearBridge Large Cap Growth Fund

A

SBLGX

52469H826

ClearBridge Large Cap Value Fund

A

SINAX

52470J100

ClearBridge Mid Cap Core Fund

A

SBMAX

52469H768

ClearBridge Mid Cap Growth Fund

A

LBGAX

52467P564

ClearBridge Small Cap Growth Fund

A

SASMX

52470H815

ClearBridge Small Cap Value Fund

A

SBVAX

52469G513

ClearBridge Tactical Dividend Income Fund

A

CFLGX

52469H545

Legg Mason Investment Counsel Financial Services Fund

A

SBFAX

52469R105

Legg Mason Investment Counsel Social Awareness Fund

A

SSIAX

52469A102

Permal Alternative Core Fund

A

LPTAX

52470J316

QS Batterymarch Global Equity Fund

A

CFIPX

52469H487

Western Asset Adjustable Rate Income Fund

A

ARMZX

52468A608

Western Asset Corporate Bond Fund

A

SIGAX

52469F317

Western Asset Emerging Markets Debt Fund

A

LWEAX

52469L694

Western Asset Global High Yield Bond Fund

A

SAHYX

52469F465

Western Asset Global Strategic Income Fund

A

SDSAX

52469F754

Western Asset Mortgage Backed Securities Fund

A

SGVAX

52469F366

Western Asset Short Duration High Income Fund

A

SHIAX

52469F630

Western Asset Short-Term Bond Fund

A

SBSTX

52469E500

 

 

 

 

Legg Mason Class A – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

ClearBridge Global Growth Trust

A

LGGAX

524686540

ClearBridge Special Investment Trust

A

LMSAX

524686482

ClearBridge Value Trust

A

LGVAX

524686623

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 Opportunity Trust

A

LGOAX

52470B107

QS Batterymarch Emerging Markets Fund

A

LMRAX

524686177

QS Batterymarch International Equity Fund

A

LMEAX

524686292

QS Batterymarch U.S. Small Capitalization Equity Fund

A

LMBAX

524686433

QS Legg Mason Strategic Real Return Fund

A

LRRAX

524686607
 

 

 

Legg Mason Class A – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

QS Batterymarch S&P 500 Index Fund

A

SBSPX

52469H727

QS Legg Mason Lifestyle Allocation 30%

A

SBCPX

52467P853

QS Legg Mason Lifestyle Allocation 50%

A

SBBAX

52467P804

QS Legg Mason Lifestyle Allocation 70%

A

SCGRX

52467P812

QS Legg Mason Lifestyle Allocation 85%

A

SCHAX

52467P762

 

 

 

 

Western Asset Class A – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

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 Government Bond Fund

A

WAOAX

957663263

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 Total Return Unconstrained Fund

A

WAUAX

957663230

 

 

 

 

Legg Mason Class C – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

ClearBridge Aggressive Growth Fund

C

SAGCX

52468C307

ClearBridge All Cap Value Fund

C

SFVCX

52469C306

ClearBridge Appreciation Fund

C

SAPCX

52468E303

ClearBridge Equity Fund

C

LMQCX

524695400

ClearBridge Equity Income Fund

C

SBPLX

52469H610

ClearBridge Global Growth Trust

C

LMGTX

524686532

ClearBridge International Value Fund

C

SBICX

52469X805

ClearBridge Large Cap Growth Fund

C

SLCCX

52469H792

ClearBridge Large Cap Value Fund

C

SINOX

52470J308

ClearBridge Mid Cap Core Fund

C

SBMLX

52469H743

ClearBridge Mid Cap Growth Fund

C

LBGCX

52467P556

ClearBridge Small Cap Growth Fund

C

SCSMX

52470H781

ClearBridge Small Cap Value Fund

C

SBVLX

52469G489

ClearBridge Special Investment Trust

C

LMASX

524686474

ClearBridge Tactical Dividend Income Fund

C

SMDLX

52469H529

ClearBridge Value Trust

C

LMVTX

524686615

Legg Mason BW Absolute Return Opportunities Fund

C

LAOCX

524686128

Legg Mason BW Diversified Large Cap Value Fund

C

LBWCX

524686771

Legg Mason BW Global Opportunities Bond Fund

C

LGOCX

524686144

Legg Mason BW International Opportunities Bond Fund

C

LIOCX

524686136

 

 

 

 

Legg Mason Investment Counsel Financial Services Fund

C

SFSLX

52469R303

Legg Mason Investment Counsel Social Awareness Fund

C

SESLX

52469A300

Legg Mason Opportunity Trust

C

LMOPX

52470B206

Permal Alternative Core Fund

C

LPTCX

52470J290

QS Batterymarch Emerging Markets Fund

C

LMEMX

524686235

QS Batterymarch Global Equity Fund

C

SILLX

52469H461

QS Batterymarch International Equity Fund

C

LMGEX

524686284

QS Legg Mason Strategic Real Return Fund

C

LRRCX

524686706

Western Asset Adjustable Rate Income Fund

C

LWAIX

52468A848

Western Asset Corporate Bond Fund

C

LWBOX

52468A814

Western Asset Emerging Markets Debt Fund

C

WAEOX

52469L561

Western Asset Global High Yield Bond Fund

C

LWGOX

52468A798

Western Asset Global Strategic Income Fund

C

LWSIX

52468A749

Western Asset Mortgage Backed Securities Fund

C

LWMSX

52468A764

Western Asset Short Duration High Income Fund

C

LWHIX

52468A772

Western Asset Short-Term Bond Fund

C

LWSOX

52468A756

 

 

 

 

Legg Mason Class C – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

QS Legg Mason Lifestyle Allocation 30%

C

LWLAX

52470J159

QS Legg Mason Lifestyle Allocation 50%

C

SCBCX

52467P879

QS Legg Mason Lifestyle Allocation 70%

C

SCGCX

52467P788

QS Legg Mason Lifestyle Allocation 85%

C

SCHCX

52467P747

 

 

 

 

Western Asset Class C – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

Western Asset Core Bond Fund

C

WABCX

957663487

Western Asset Core Plus Bond Fund

C

WAPCX

957663453

Western Asset Global Government Bond Fund

C

WAOCX

957663255

Western Asset Global Multi-Sector Fund

C

WALCX

957663420

Western Asset High Yield Fund

C

WAYCX

957663388

Western Asset Inflation Indexed Plus Bond Fund

C

WAFCX

957663354

Western Asset Intermediate Bond Fund

C

WATCX

957663321

 

 

 

 

Legg Mason Class C1 – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

Legg Mason BW Absolute Return Opportunities Fund

C1

LROCX

524686714

Legg Mason BW Global Opportunities Bond Fund

C1

GOBCX

524686375

Legg Mason BW International Opportunities Bond Fund

C1

LWOCX

524686649

Western Asset Adjustable Rate Income Fund

C1

ARMGX

52468A806

 

 

 

 

Western Asset Corporate Bond Fund

C1

SBILX

52469F283

Western Asset Emerging Markets Debt Fund

C1

LWECX

52469L686

Western Asset Global High Yield Bond Fund

C1

SHYCX

52469F440

Western Asset Global Strategic Income Fund

C1

SDSIX

52469F739

Western Asset Mortgage Backed Securities Fund

C1

SGSLX

52469F341

Western Asset Short Duration High Income Fund

C1

SHICX

52469F614

Western Asset Short-Term Bond Fund

C1

SSTLX

52469E708

 

 

 

 

Legg Mason Class C1 – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

QS Legg Mason Lifestyle Allocation 30%

C1

SBCLX

52467P838

 

 

 

 

Legg Mason Class D – Funds with annual compensation on assets comprised of recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

QS Batterymarch S&P 500 Index Fund

D

SBSDX

52469H719

 

 

 

 

Legg Mason Class FI – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

ClearBridge Global Growth Trust

FI

LMGFX

524686516

ClearBridge Special Investment Trust

FI

LGASX

524686458

ClearBridge Value Trust

FI

LMVFX

524686565

Legg Mason BW Absolute Return Opportunities Fund

FI

LBAFX

524686698

Legg Mason BW Global Opportunities Bond Fund

FI

GOBFX

524686326

Legg Mason BW International Opportunities Bond Fund

FI

LWOFX

524686300

Legg Mason Opportunity Trust

FI

LMOFX

52470B404

QS Batterymarch Emerging Markets Fund

FI

LGFMX

524686219

QS Batterymarch International Equity Fund

FI

LGFEX

524686268

 

 

 

 

Western Asset Class FI – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

Western Asset Core Bond Fund

FI

WAPIX

957663404

Western Asset Core Plus Bond Fund

FI

WACIX

957663602

Western Asset Enhanced Equity Fund

FI

TBD

957663784

Western Asset Global Government Bond Fund

FI

TBD

957663859

Western Asset Global Multi-Sector Fund

FI

WGMFX

957663727

Western Asset High Yield Fund

FI

TBD

957663834

Western Asset Intermediate Bond Fund

FI

WAIFX

957663800

Western Asset Money Market Fund

FI

TBD

957663768

Western Asset Total Return Unconstrained Fund

FI

WARIX

957663693

Western Asset US Govt Money Market Fund

FI

TBD

957663743

 

 

 

 

 

Legg Mason Class I – Funds with annual compensation on assets comprised of recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

ClearBridge Aggressive Growth Fund

I

SAGYX

52468C406

ClearBridge All Cap Value Fund

I

SFVYX

52469C405

ClearBridge Appreciation Fund

I

SAPYX

52468E402

ClearBridge Equity Fund

I

LMQIX

524695509

ClearBridge Equity Income Fund

I

SOPYX

52469H594

ClearBridge International Value Fund

I

SBIYX

52469X888

ClearBridge Large Cap Growth Fund

I

SBLYX

52469H784

ClearBridge Large Cap Value Fund

I

SAIFX

52470J407

ClearBridge Mid Cap Core Fund

I

SMBYX

52469H735

ClearBridge Mid Cap Growth Fund

I

LBGIX

52467P531

ClearBridge Small Cap Growth Fund

I

SBPYX

52470H765

ClearBridge Small Cap Value Fund

I

SMCYX

52469G471

ClearBridge Tactical Dividend Income Fund

I

LADIX

52469H511

Legg Mason Investment Counsel Financial Services Fund

I

LMRIX

52469R402

Legg Mason Investment Counsel Social Awareness Fund

I

LMRNX

52469A409

Permal Alternative Core Fund

I

LPTIX

52470J274

QS Batterymarch Global Equity Fund

I

SMYIX

52469H453

Western Asset Adjustable Rate Income Fund

I

SBAYX

52468A889

Western Asset Corporate Bond Fund

I

SIGYX

52469F275

Western Asset Emerging Markets Debt Fund

I

SEMDX

52469F481

Western Asset Global Strategic Income Fund

I

SDSYX

52469F721

Western Asset Mortgage Backed Securities Fund

I

SGSYX

52469F333

Western Asset Short-Term Bond Fund

I

SBSYX

52469E807

Western Asset Short Duration High Income Fund

I

SHIYX

52469F598

 

 

 

 

Legg Mason Class I – Funds with annual compensation on assets comprised of recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

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

QS Legg Mason Lifestyle Allocation 30%

I

LMGIX

52467P820

QS Legg Mason Lifestyle Allocation 50%

I

LMEIX

52467P861

QS Legg Mason Lifestyle Allocation 70%

I

LLAIX

52467P770

QS Legg Mason Lifestyle Allocation 85%

I

LANIX

52467P739

Western Asset Global High Yield Bond Fund

I

SHYOX

52469F432

Western Asset Short Term Yield Fund

I

WTYIX

52468A863

 

 

 

 

 

 

 

 

 

 

 

 

Legg Mason Class I – Funds with annual compensation on assets comprised of recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

ClearBridge Global Growth Trust

I

LMGNX

524686524

ClearBridge Special Investment Trust

I

LMNSX

524686466

ClearBridge Value Trust

I

LMNVX

524686573

Legg Mason Opportunity Trust

I

LMNOX

52470B305

QS Batterymarch Emerging Markets Fund

I

LGEMX

524686227

QS Batterymarch International Equity Fund

I

LGIEX

524686276

QS Batterymarch U.S. Small Capitalization Equity Fund

I

LMSIX

524686359

QS Legg Mason Strategic Real Return Fund

I

LRRIX

524686888

 

 

 

 

Western Asset Class I – Funds with annual compensation on assets comprised of recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

Western Asset Asian Opportunities Fund

I

LWAOX

957663529

Western Asset Core Bond Fund

I

WATFX

957663305

Western Asset Core Plus Bond Fund

I

WACPX

957663503

Western Asset Enhanced Equity Fund

I

TBD

957663792

Western Asset Global Government Bond Fund

I

WAFIX

957663867

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

Western Asset Macro Opportunities Fund

I

LAOIX

95768D400

Western Asset Money Market Fund

I

TBD

957663776

Western Asset Total Return Unconstrained Fund

I

WAARX

957663719

Western Asset US Govt Money Market Fund

I

TBD

957663750

 

 

 

 

Legg Mason Class IS – Funds with no annual compensation.

Fund Name

Class

Ticker

CUSIP

ClearBridge Aggressive Growth Fund

IS

LSIFX

52468C703

ClearBridge All Cap Value Fund

IS

LSISX

52469C504

ClearBridge Appreciation Fund

IS

LMESX

52468E709

ClearBridge Energy MLP & Infrastructure Fund

IS

LCPSX

52471R655

Clearbridge Equity Income Fund

IS

LCBEX

52471R796

ClearBridge International Value Fund

IS

LSIUX

52469X870

ClearBridge Large Cap Growth Fund

IS

LSITX

52469H255

ClearBridge Large Cap Value Fund

IS

LMLSX

52470J605

ClearBridge Mid Cap Core Fund

IS

LSIRX

52469H263

ClearBridge Mid Cap Growth Fund

IS

LCMIX

52467P440

ClearBridge Select Fund

IS

LCSSX

52467P473

ClearBridge Small Cap Growth Fund

IS

LMOIX

52470H666

ClearBridge Small Cap Value Fund

IS

LCBIX

52471R697

ClearBridge Tactical Dividend Income Fund

IS

LCBDX

52471R747

 

 

 

 

 

Legg Mason BW Absolute Return Opportunities Fund

IS

LROSX

524686664

Legg Mason BW Alternative Credit Fund

IS

LMAMX

52471E811

Legg Mason BW Diversified Large Cap Value Fund

IS

LBISX

524686730

Legg Mason BW Global High Yield Fund

IS

LMZIX

524686151

Legg Mason BW Global Opportunities Bond Fund

IS

GOBSX

524686318

Legg Mason BW International Opportunities Bond Fund

IS

LMOTX

524686508

Miller Income Opportunity Trust

IS

LMCMX

52471E746

Permal Alternative Core Fund

IS

LPTSX

52470J266

Permal Alternative Select Fund

IS

PASQX

52471R523

QS Batterymarch Emerging Markets Fund

IS

LGMSX

524686193

QS Batterymarch International Equity Fund

IS

LIESX

524686243

QS Batterymarch Managed Volatility Global Dividend Fund

IS

LDIFX

52471R705

QS Batterymarch Managed Volatility International Dividend Fund

IS

LDIVX

52471R846

QS Batterymarch U.S. Large Cap Equity Fund

IS

LMISX

52469H289

QS Batterymarch U.S. Small Capitalization Equity Fund

IS

LMBMX

524686391

QS Legg Mason Strategic Real Return Fund

IS

LRRSX

524686870

Western Asset Adjustable Rate Income Fund

IS

ARMLX

52470V830

Western Asset Emerging Markets Debt Fund

IS

LWISX

52469L678

Western Asset Global High Yield Bond Fund

IS

LWGSX

52468A723

Western Asset Global Strategic Income Fund

IS

WAGIX

52470V822

Western Asset Short-Term Bond Fund

IS

LWSTX

52468A731

Western Asset Short Term Yield Fund

IS

TBD

52468A855

 

 

 

 

Western Asset Class IS – Funds with no annual compensation.

Fund Name

Class

Ticker

CUSIP

Western Asset Asian Opportunities Fund

IS

LWOPX

957663511

Western Asset Core Bond Fund

IS

WACSX

957663677

Western Asset Core Plus Bond Fund

IS

WAPSX

957663669

Western Asset Global Government Bond Fund

IS

WAOSX

957663560

Western Asset Global Multi-Sector Fund

IS

WGMSX

957663644

Western Asset High Yield Fund

IS

WAHSX

957663636

Western Asset Inflation Indexed Plus Bond Fund

IS

WAFSX

957663545

Western Asset Intermediate Bond Fund

IS

WABSX

957663610

Western Asset Total Return Unconstrained Fund

IS

WAASX

957663685

 

 

 

 

 

 

 

Legg Mason Class R – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

 

 

Fund Name

Class

Ticker

CUSIP

 

 

ClearBridge Aggressive Growth Fund

R

LMPRX

52468C505

 

 

ClearBridge Appreciation Fund

R

LMPPX

52468E501

 

 

ClearBridge Equity Income Fund

R

LMMRX

52469H271

 

 

ClearBridge Global Growth Trust

R

LMGRX

524686490

 
                 

 

 

 

 

 

 

ClearBridge Large Cap Growth Fund

R

LMPLX

52469H693

ClearBridge Mid Cap Core Fund

R

LMREX

52469H172

ClearBridge Small Cap Growth Fund

R

LMPOX

52470H690

ClearBridge Special Investment Trust

R

LMARX

524686441

ClearBridge Value Trust

R

LMVRX

524686557

Legg Mason BW Absolute Return Opportunities Fund

R

LBARX

524686680

Legg Mason BW Global Opportunities Bond Fund

R

LBORX

524686367

Legg Mason BW International Opportunities Bond Fund

R

LWORX

524686631

Legg Mason Opportunity Trust

R

LMORX

52470B503

QS Batterymarch Emerging Markets Fund

R

LBERX

524686185

QS Batterymarch International Equity Fund

R

LMIRX

524686250

QS Batterymarch U.S. Small Capitalization Equity Fund

R

LMBRX

524686417

 

 

 

 

Western Asset Class R – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

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 Government Bond Fund

R

WAORX

957663248

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

WAURX

957663214

 

 

 

 

Legg Mason Class P – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of __bps.

Fund Name

Class

Ticker

CUSIP

Western Asset Corporate Bond Fund

P

LCBPX

52469L660

 

 

 

 

Western Asset Money Market Funds – Funds with annual compensation on assets comprised of 12b-1 (per prospectus) and recordkeeping fees of.__bps.

Fund Name

Class

Ticker

CUSIP

Western Asset Government Reserves

A

SMGXX

52470R847

Western Asset Liquid Reserves

A

LLAXX

52470R441