EX-24 23 ex24b896lazard6amdssa.htm EXHIBIT 24(B)(8.96) LAZARD 6TH AMEND TO SSA ex24b896lazard6amdssa.htm - Generated by SEC Publisher for SEC Filing

Exhibit 24(b)(8.96)

SIXTH AMENDMENT

TO SELLING AND SERVICES AGREEMENT

This Sixth Amendment dated as of May 20 , 2015 (the “Amendment”) by and between Voya Retirement Insurance and Annuity Company , Voya Institutional Plan Services, LLC , Voya Financial Partners, LLC  (collectively “Voya”), and one or more of The Lazard Funds, Inc., an open-end series investment company (the "Fund"), Lazard Asset Management Securities LLC, the Fund’s principal underwriter (“Distributor”), and Lazard Asset Management LLC, the investment adviser to each mutual fund comprising the Fund and the parent company of the Distributor (“LAM”) is made to the Selling and Services Agreement dated as of July 1, 1998 (the “Agreement”) as amended on June 18, 2007, March 31, 2008 ,August 16, 2009 and September 22, 2011 and March _, 2015.  Terms defined in the Agreement are used herein as therein defined.

            WHEREAS, the parties wish to amend Schedule A to the Agreement.

            NOW, THEREFORE, in consideration of the foregoing and the mutual promises set forth below, the parties agree as follows:

1.      Schedule A to the Agreement shall be deleted in its entirety and replaced with the Schedule A attached hereto. 

2.      Except as specifically provided herein, all other provisions of the Agreement shall remain in full force and effect.

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

VOYA RETIREMENT INSURANCE AND ANNUITY COMPANY

 

By:       /s/ Lisa Gilarde                        

Name:  Lisa Gilarde

Title:    Vice President

 

VOYA INSTITUTIONAL PLAN SERVICES, LLC

 

By:       /s/ Lisa Gilarde                        

Name:  Lisa Gilarde

Title:    Vice President

 

VOYA FINANCIAL PARTNERS, LLC

 

By:       /s/ Lisa Gilarde                        

Name:  Lisa Gilarde

Title:    Vice President

 

LAZARD ASSET MANAGEMENT SECURITIES LLC

By:       /s/ Charles L. Carroll               

Name:  Charles L. Carroll

Title:    President

 

LAZARD ASSET MANAGEMENT LLC

By:       /s/ Charles L. Carroll               

Name:  Charles L. Carroll

Title:    Deputy Chairman

 

A-1

 

schedule a

Portfolio Name

Class

Symbol

CUSIP

Plan Fee*

Other Comp+

Total

 

 

 

 

 

 

 

Lazard Capital Allocator Opportunistic Strategies Portfolio

Open

LCAOX

52106N483

X.XX%

 

X.XX%

Lazard Developing Markets Equity Portfolio

Open

LDMOX

52106N467

X.XX%

 

X.XX%

Lazard Emerging Markets Core Equity Portfolio

Open

ECEOX

52106N244

X.XX%

 

X.XX%

Lazard Emerging Markets Debt Portfolio

Open

LEDOX

52106N129

X.XX%

 

X.XX%

Lazard Emerging Markets Equity Blend Portfolio

Open

EMBOX

52106N418

X.XX%

 

X.XX%

Lazard Emerging Markets Equity Portfolio**

Open

LZOEX

52106N764

X.XX%

 

X.XX%

Lazard Emerging Markets Income Portfolio

Open

LEIOX

52107V674

X.XX%

 

X.XX%

Lazard Emerging Markets Multi Asset Portfolio

Open

EMMOX

52106N145

X.XX%

 

X.XX%

Lazard Enhanced Opportunities Portfolio

Open

LEOOX

52107V476

X.XX%

 

X.XX%

Lazard Explorer Total Return Portfolio

Open

LETOX

52106N269

X.XX%

 

X.XX%

Lazard Fundamental Long/Short Portfolio

Open

LLSOX

52107V641

X.XX%

 

X.XX%

Lazard Global Equity Select Portfolio

Open

GESOX

52107V716

.XXX%

 

X.XX%

Lazard Global Fixed Income Portfolio

Open

LZGOX

52106N285

X.XX%

 

X.XX%

Lazard Global Listed Infrastructure Portfolio

Open

GLFOX

52106N442

X.XX%

 

X.XX%

Lazard Global Realty Equity Portfolio

Open

LITOX

52106N350

X.XX%

 

X.XX%

Lazard Global Strategic Equity Portfolio

Open

LSTOX

52107V 542

X.XX%

 

X.XX%

Lazard International Equity Portfolio

Open

LZIOX

52106N830

X.XX%

 

X.XX%

Lazard International Equity Concentrated Portfolio

Open

LCNOX

52107V 575

X.XX%

 

X.XX%

Lazard International Equity Select Portfolio

Open

LZESX

52106N657

X.XX%

 

X.XX%

Lazard International Small Cap Equity Portfolio

Open

LZSMX

52106N772

X.XX%

 

X.XX%

Lazard International Strategic Equity Portfolio

Open

LISOX

52106N582

X.XX%

 

X.XX%

Lazard Master Alternatives Portfolio

Open

LALOX

52107V518

X.XX%

 

X.XX%

Lazard US Corporate Income Portfolio

Open

LZHOX

52106N681

X.XX%

 

X.XX%

Lazard US Equity Concentrated Portfolio

Open

LEVOX

52106N574

X.XX%

 

X.XX%

Lazard US Mid Cap Equity Portfolio

Open

LZMOX

52106N715

X.XX%

 

X.XX%

Lazard US Realty Equity Portfolio

Open

LREOX

52106N319

X.XX%

 

X.XX%

Lazard US Realty Income Portfolio

Open

LRIOX

52106N335

X.XX%

 

X.XX%

Lazard US Short Duration Fixed Income Portfolio

Open

UMNOX

52106N376

X.XX%

 

X.XX%

Lazard US Small Cap Equity Growth Portfolio

Open

GRWOX

52107V617

X.XX%

 

X.XX%

Lazard US Small-Mid Cap Equity Portfolio

Open

LZCOX

52106N780

X.XX%

 

X.XX%

 

A-2

 

 

Portfolio Name

Class

Symbol

CUSIP

Plan Fee*

Other Comp+

Total

Lazard US Strategic Equity Portfolio

Open

LZUOX

52106N632

X.XX%

 

X.XX%

 

 

 

 

 

 

 

 

Lazard Capital Allocator Opportunistic Strategies Portfolio

Institutional

LCAIX

52106N491

N/A

 

 

 

0

Lazard Developing Markets Equity Portfolio

Institutional

LDMIX

52106N475

N/A

 

 

0

Lazard Emerging Markets Core Equity Portfolio

Institutional

ECEIX

52106N251

N/A

 

0

Lazard Emerging Markets Debt Portfolio

Institutional

LEDIX

52106N111

N/A

 

0

Lazard Emerging Markets Equity Blend Portfolio

Institutional

EMBIX

52106N392

N/A

 

0

Lazard Emerging Markets Equity Portfolio**

Institutional

LZEMX

52106N889

N/A

 

0

Lazard Emerging Markets Income Portfolio

Institutional

LEIIX

52107V682

N/A

 

0

Lazard Emerging Markets Multi Asset Portfolio

Institutional

EMMIX

52106N137

N/A

 

0

Lazard Enhanced Opportunities Portfolio

Institutional

LEOIX

52107V484

N/A

 

0

Lazard Explorer Total Return Portfolio

Institutional

LETIX

52106N277

N/A

 

0

Lazard Fundamental Long/Short Portfolio

Institutional

LLSIX

52107V658

N/A

 

0

Lazard Global Equity Select Portfolio

Institutional

GESIX

52107V724

N/A

 

0

Lazard Global Fixed Income Portfolio

Institutional

LZGIX

52106N293

N/A

 

0

Lazard Global Listed Infrastructure Portfolio

Institutional

GLIFX

52106N459

N/A

 

0

Lazard Global Realty Equity Portfolio

Institutional

LITIX

52106N368

N/A

 

0

Lazard Global Strategic Equity Portfolio

Institutional

LSTIX

52107V 559

N/A

 

0

Lazard International Equity Portfolio

Institutional

LZIEX

52106N400

N/A

 

0

Lazard International Equity Concentrated Portfolio

Institutional

LCNIX

52107V 583

N/A

 

0

Lazard International Equity Select Portfolio

Institutional

LZSIX

52106N665

N/A

 

0

Lazard International Small Cap Equity Portfolio

Institutional

LZISX

52106N806

N/A

 

0

Lazard International Strategic Equity Portfolio

Institutional

LISIX

52106N590

N/A

 

0

Lazard Master Alternatives Portfolio

Institutional

LALTX

52107V526

N/a

 

0

Lazard US Corporate Income Portfolio

Institutional

LZHYX

52106N699

N/A

 

0

Lazard US Equity Concentrated Portfolio

Institutional

LEVIX

52106N616

N/A

 

0

Lazard US Mid Cap Equity Portfolio

Institutional

LZMIX

52106N723

N/A

 

0

Lazard US Realty Equity Portfolio

Institutional

LREIX

52106N327

N/A

 

0

Lazard US Realty Income Portfolio

Institutional

LRIIX

52106N343

N/A

 

0

Lazard US Short Duration Fixed Income  Portfolio

Institutional

UMNIX

52106N384

N/A

 

0

Lazard US Small Cap Equity Growth Portfolio

Institutional

GRWIX

52107V625

N/A

 

0

Lazard US Small-Mid Cap Equity Portfolio

Institutional

LZSCX

52106N509

N/A

 

0

 

 

A-3

 

Portfolio Name

Class

Symbol

CUSIP

Plan Fee*

Other Comp+

Total

Lazard US Strategic Equity Portfolio

Institutional

LZUSX

52106N624

N/A

 

0

 

 

 

 

 

 

 

Lazard Capital Allocator Opportunistic Strategies Portfolio

R6

RLCPX

52107V 849

N/A

N/A

0

Lazard Developing Markets Equity Portfolio

R6

RLDMX

52107V 872

N/A

N/A

0

Lazard Emerging Markets Core Equity Portfolio

R6

RLEOX

52107V 732

N/A

N/A

0

Lazard Emerging Markets Debt Portfolio

R6

RLEDX

52107V 815

N/A

N/A

0

Lazard Emerging Markets Equity Blend Portfolio

R6

RLEBX

52107V 831

N/A

N/A

0

Lazard Emerging Markets Equity Portfolio**

R6

RLEMX

52107V 880

N/A

N/A

0

Lazard Emerging Markets Income Portfolio

R6

RLEIX

52107V666

N/A

N/A

0

Lazard Emerging Markets Multi Asset Portfolio

R6

RLMSX

52107V 799

N/A

N/A

0

Lazard Enhanced Opportunities Portfolio

R6

RLZEX

52107V468

N/A

N/A

0

Lazard Explorer Total Return Portfolio

R6

RLETX

52107V 740

N/A

N/A

0

Lazard Fundamental Long/Short Portfolio

R6

RFLSX

52107V633

N/A

N/A

0

Lazard Global Equity Select Portfolio

R6

RLGEX

52107V690

N/A

N/A

0

Lazard Global Fixed Income Portfolio

R6

RLGFX

52107V 757

N/A

N/A

0

Lazard Global Listed Infrastructure Portfolio

R6

RLGLX

52107V 856

N/A

N/A

0

Lazard Global Realty Equity Portfolio

R6

RLGRX

52107V 765

N/A

N/A

0

Lazard Global Strategic Equity Portfolio

R6

RGSTX

52107V 534

N/A

N/A

0

Lazard International Equity Portfolio

R6

RLIEX

52107V 500

N/A

N/A

0

Lazard International Equity Concentrated Portfolio

R6

RICNX

52107V 567

N/A

N/A

0

Lazard International Equity Select Portfolio

R6

RLIQX

52107V 609

N/A

N/A

0

Lazard International Small Cap Equity Portfolio

R6

RLICX

52107V 807

N/A

N/A

0

Lazard International Strategic Equity Portfolio

R6

RLITX

52107V 708

N/A

N/A

0

Lazard Master Alternatives Portfolio

R6

RMSTX

52107V492

N/A

N/A

0

Lazard US Corporate Income Portfolio

R6

RLCIX

52107V 864

N/A

N/A

0

Lazard US Equity Concentrated Portfolio

R6

RLUEX

52107V 104

N/A

N/A

0

Lazard US Mid Cap Equity Portfolio

R6

RLMCX

52107V 302

N/A

N/A

0

Lazard US Realty Equity Portfolio

R6

RLREX

52107V 773

N/A

N/A

0

Lazard US Realty Income Portfolio

R6

RLRIX

52107V 781

N/A

N/A

0

Lazard US Short Duration Fixed Income Portfolio

R6

RLSDX

52107V 823

N/A

N/A

0

Lazard US Small Cap Equity Growth Portfolio

R6

RLSGX

52107V591

N/A

N/A

0

Lazard US Small-Mid Cap Equity Portfolio

R6

RLSMX

52107V 401

N/A

N/A

0

 

 

A-4

 

Portfolio Name

Class

Symbol

CUSIP

Plan Fee*

Other Comp+

Total

Lazard US Strategic Equity Portfolio

R6

RLUSX

52107V 203

N/A

N/A

0

 

*       Fees to be paid to Intermediary from the Plan.  Intermediary waives any right to payment of such fees until Distributor is in receipt of fees from the Fund pursuant to the Plan, and Distributor's liability for the payment of such fees is limited solely to the proceeds of fees received from the Fund pursuant to the Plan.  The Plan is terminable by the Fund's Board of Directors at any time.  It is recognized that certain parties may not be permitted to collect distribution fees under the Plan, and if Intermediary is such a party, it will not accept such fees. 

 

 

+      Paid by Distributor or the Portfolios' investment adviser out of its own resources.

 

** The Lazard Emerging Markets Equity Portfolio is generally closed to new investors.

 

A-5