EX-99.(H)(1) 6 dex99h1.htm TRANSFER AGENCY AGREEMENT DATED DECEMBER 31, 2004 Transfer Agency Agreement Dated December 31, 2004

Exhibit (h)(1)

 

TRANSFER AGENCY AND SERVICE AGREEMENT

 

AGREEMENT made as of the 31st day of December, 2004, by and between METROPOLITAN SERIES FUND II, a Massachusetts business trust, having its principal office and place of business at 501 Boylston Street, Boston, Massachusetts 02116 (the “Fund”), and STATE STREET BANK AND TRUST COMPANY, a Massachusetts trust company having its principal office and place of business at 225 Franklin Street, Boston, Massachusetts 02110 (the “Transfer Agent”).

 

WHEREAS, the Fund is authorized to issue shares in separate series, with each such series representing interests in a separate portfolio of securities and other assets; and

 

WHEREAS, the Fund intends to initially offer shares in one (1) series, the MetLife Stock Index Portfolio II (such series, together with all other series subsequently established by the Fund and made subject to this Agreement in accordance with Article 10, being herein referred to as a “Portfolio”, and collectively as the “Portfolios”);

 

WHEREAS, the Fund on behalf of the Portfolios desires to appoint the Transfer Agent as its transfer agent, dividend disbursing agent, and agent in connection with certain other activities, and the Transfer Agent desires to accept such appointment;

 

NOW, THEREFORE, in consideration of the mutual covenants herein contained, the parties hereto agree as follows:

 

1. Terms of Appointment

 

  1.1 Subject to the terms and conditions set forth in this Agreement, the Fund, on behalf of the Portfolios, hereby employs and appoints the Transfer Agent to act as, and the Transfer Agent agrees to act as its transfer agent for the Fund’s authorized and issued shares, without par value, (“Shares”), dividend disbursing agent, and agent in connection with any accumulation, open-account or similar plans provided to the shareholders of each of the respective Portfolios of the Fund (“Shareholders”) and set out in the currently effective prospectus and statement of additional information of the Fund on behalf of the applicable Portfolio, including without limitation any periodic investment plan or periodic withdrawal program.

 

  1.2 The Transfer Agent shall perform the those services outlined in the attached Schedule A, as may be amended by the parties from time to time, and as more fully described below:

 

  (a) Transfer Agency Services. In accordance with procedures established from time to time by agreement between the Fund on behalf of each of the Portfolios, as applicable and the Transfer Agent, the Transfer Agent, if and only if designated as the responsible party in the attached Schedule A, shall:

 

  (i) Receive orders for the purchase of Shares from the Fund and its authorized intermediary, and promptly deliver payment and appropriate documentation thereof to the Custodian of the Fund as identified by the Fund (the “Custodian”);

 

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  (ii) Pursuant to such purchase orders, issue the appropriate number of Shares and hold such Shares in the appropriate Shareholder account;

 

  (iii) Receive redemption requests and redemption directions from the Fund and its authorized intermediary and deliver the appropriate documentation thereof to the Custodian;

 

  (iv) In respect to the transactions in items (i), (ii) and (iii) above, the Transfer Agent shall process transactions received directly from broker-dealers authorized by the Fund who shall thereby be deemed to be acting on behalf of the Fund;

 

  (v) At the appropriate time as and when it receives monies paid to it by the Custodian with respect to any redemption, pay over or cause to be paid over in the appropriate manner such monies as instructed by the redeeming Shareholders;

 

  (vi) Process transfers of Shares by the registered owners thereof upon receipt of appropriate instructions;

 

  (vii) Process and transmit payments for dividends and distributions declared by the Fund on behalf of the applicable Portfolio;

 

  (viii) Issue replacement certificates for those certificates alleged to have been lost, stolen or destroyed upon receipt by the Transfer Agent of indemnification satisfactory to the Transfer Agent and protecting the Transfer Agent and the Fund, and the Transfer Agent at its option, may issue replacement certificates in place of mutilated stock certificates upon presentation thereof and without such indemnity;

 

  (ix) Maintain records of account for and advise the Fund and its Shareholders as to the foregoing; and

 

  (x) Record the issuance of shares of the Fund and maintain pursuant to SEC Rule 17Ad-10(e) a record of the total number of shares of the Fund which are: (1) authorized, based upon data provided to it by the Fund, and (2) issued and outstanding. The Transfer Agent shall also provide the Fund on a regular basis with the total number of shares which are authorized and issued and outstanding and shall have no obligation, when recording the issuance of shares, to monitor the issuance of such shares or to take cognizance of any laws relating to the issue or sale of such shares, which functions shall be the sole responsibility of the Fund.

 

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  (b) Other Customary Services. In addition to and neither in lieu nor in contravention of the services set forth in the above paragraph (a), the Transfer Agent, if and only if designated as the responsible party in the attached Schedule A, shall perform the customary services of a transfer agent, dividend disbursing agent, and, as relevant, agent in connection with accumulation, open-account or similar plans (including without limitation any periodic investment plan or periodic withdrawal program), including but not limited to: maintaining all Shareholder accounts, preparing Shareholder meeting lists, mailing proxies, mailing Shareholder reports and prospectuses to current Shareholders, withholding taxes on U.S. resident and non-resident alien accounts, preparing and filing U.S. Treasury Department Forms 1099 and other appropriate forms required with respect to dividends and distributions by federal authorities for all Shareholders, preparing and mailing confirmation forms and statements of account to Shareholders for all purchases and redemptions of Shares and other confirmable transactions in Shareholder accounts, preparing and mailing activity statements for Shareholders, and providing Shareholder account information.

 

  (c) Procedures regarding certain of the services to be provided by the Transfer Agent may be established from time to time by agreement between the Fund on behalf of each Portfolio and the Transfer Agent. The Transfer Agent may at times perform only a portion of these services and the Fund or its agent(s) may perform these services on the Fund’s behalf.

 

  1.3 Authorized Persons and Intermediaries. The Fund, on behalf of each Portfolio, hereby agrees and acknowledges that the Transfer Agent may rely on the current list of authorized persons and intermediaries, as provided or agreed to by the Fund and as may be amended from time to time, in receiving instructions to issue or redeem shares. The Fund agrees and covenants for itself and each such authorized person and intermediary that any order, sale or other transfer of or transaction in the Shares received after close of market shall be effectuated at the net asset value determined on the next business day or as otherwise required pursuant to the Fund’s then-effective prospectus, and the Fund or such authorized person or intermediary shall so instruct the Transfer Agent of the proper effective date of the transaction.

 

  1.4 The Transfer Agent shall have no responsibility for the offering and sale of Shares, including, without limitation compliance by the Fund, the Fund’s investment adviser or administrator, or any underwriter, distributor or placement agent of Shares, with any reporting or registration requirements or any applicable municipal, state or federal securities or other laws. The Fund acknowledges that only the Fund has the authority to accept or reject an investment in the Fund or Shares. Further, the Fund represents and covenants that it has established, and during the term of this Agreement shall continue to implement an anti-money laundering program that satisfies the

 

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requirements of the USA Patriot Act and applicable implementing regulations issued thereunder, in particular with regard to the receipt of any monies from an investor for the purchase of Shares.

 

2. Fees and Expenses

 

  2.1 For the performance by the Transfer Agent pursuant to this Agreement, the Fund agrees on behalf of each of the Portfolios to pay the Transfer Agent the fees set out in the attached fee schedule. Such fees and any out-of-pocket expenses and advances identified under Section 2.2 below may be changed from time to time subject to mutual written agreement between the Fund and the Transfer Agent.

 

  2.2 In addition to the fees paid under Section 2.1 above, the Fund agrees on behalf of each of the Portfolios to reimburse the Transfer Agent for out-of-pocket expenses, including but not limited to confirmation production, postage, forms, telephone, microfilm, microfiche, tabulating proxies, records storage, or advances incurred by the Transfer Agent for the items set out in the fee schedule attached hereto. In addition, any other expenses incurred by the Transfer Agent at the request or with the consent of the Fund, will be reimbursed by the Fund on behalf of the applicable Portfolio.

 

  2.3 The Fund agrees on behalf of each of the Portfolios to pay all fees and reimbursable expenses within five days following the receipt of the respective billing notice. Postage for mailing of dividends, proxies, Fund reports and other mailings to all shareholder accounts shall be advanced to the Transfer Agent by the Fund at least seven (7) days prior to the mailing date of such materials.

 

3. Representations and Warranties of the Transfer Agent

 

The Transfer Agent represents, warrants and covenants to the Fund that:

 

  3.1 It is a trust company duly organized and existing and in good standing under the laws of the Commonwealth of Massachusetts.

 

  3.2 It is duly qualified to carry on its business in the Commonwealth of Massachusetts.

 

  3.3 It is empowered under applicable laws and by its Charter and By-Laws to enter into and perform this Agreement.

 

  3.4 All requisite corporate proceedings have been taken to authorize it to enter into and perform this Agreement.

 

  3.5 It has and will continue to have access to the necessary facilities, equipment and personnel to perform its duties and obligations under this Agreement.

 

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4. Representations and Warranties of the Fund

 

The Fund represents, warrants and covenants to the Transfer Agent that:

 

  4.1 It is a business trust duly organized and existing and in good standing under the laws of the Commonwealth of Massachusetts.

 

  4.2 It is empowered under applicable laws and by its Declaration of Trust and By-Laws to enter into and perform this Agreement.

 

  4.3 All proceedings required by said Declaration of Trust and By-Laws have been taken to authorize it to enter into and perform this Agreement.

 

  4.4 It is an open-end and diversified management investment company registered under the Investment Company Act of 1940, as amended.

 

  4.5 A registration statement under the Securities Act of 1933, as amended, is currently effective and will remain effective, and all appropriate state securities law filings have been made and will continue to be made, with respect to all Shares of the fund being offered for sale.

 

5. Data Access and Proprietary Information

 

  5.1 The Fund acknowledges that the data bases, computer programs, screen formats, report formats, interactive design techniques, and documentation manuals furnished to the Fund by the Transfer Agent as part of the Fund’s ability to access certain Fund-related data (“Customer Data”) maintained by the Transfer Agent on databases under the control and ownership of the Transfer Agent (“Data Access Services”) constitute copyrighted, trade secret, or other proprietary information (collectively, “Proprietary Information”) of substantial value to the Transfer Agent or other third party. In no event shall Proprietary Information be deemed Customer Data. The Fund agrees to treat all Proprietary Information as proprietary to the Transfer Agent and further agrees that it shall not divulge any Proprietary Information to any person or organization except as may be provided hereunder. Without limiting the foregoing, the Fund agrees for itself and its employees and agents:

 

  (a) to use such programs and databases (i) solely on the Fund’s computers, or solely from equipment at the location agreed to between the Fund and the Transfer Agent and (ii) solely in accordance with the Transfer Agent’s applicable user documentation;

 

  (b) to refrain from copying or duplicating in any way the Proprietary Information;

 

  (c) to refrain from obtaining unauthorized access to any portion of the Proprietary Information, and if such access is inadvertently obtained, to inform in a timely manner of such fact and dispose of such information in accordance with the Transfer Agent’s instructions;

 

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  (d) to refrain from causing or allowing the data acquired hereunder from being retransmitted to any other computer facility or other location, except with the prior written consent of the Transfer Agent;

 

  (e) that the Fund shall have access only to those authorized transactions agreed upon by the parties;

 

  (f) to honor all reasonable written requests made by the Transfer Agent to protect at the Transfer Agent’s expense the rights of the Transfer Agent in Proprietary Information at common law, under federal copyright law and under other federal or state law.

 

Each party shall take reasonable efforts to advise its employees of their obligations pursuant to this Section 5. The obligations of this Section shall survive any earlier termination of this Agreement.

 

  5.2 If the Fund notifies the Transfer Agent that any of the Data Access Services do not operate in material compliance with the most recently issued user documentation for such services, the Transfer Agent shall endeavor in a timely manner to correct such failure. Organizations from which the Transfer Agent may obtain certain data included in the Data Access Services are solely responsible for the contents of such data and the Fund agrees to make no claim against the Transfer Agent arising out of the contents of such third-party data, including, but not limited to, the accuracy thereof. DATA ACCESS SERVICES AND ALL COMPUTER PROGRAMS AND SOFTWARE SPECIFICATIONS USED IN CONNECTION THEREWITH ARE PROVIDED ON AN AS IS, AS AVAILABLE BASIS. THE TRANSFER AGENT EXPRESSLY DISCLAIMS ALL WARRANTIES EXCEPT THOSE EXPRESSLY STATED HEREIN INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE.

 

  5.3 If the transactions available to the Fund include the ability to originate electronic instructions to the Transfer Agent in order to (i) effect the transfer or movement of cash or Shares or (ii) transmit Shareholder information or other information, then in such event the Transfer Agent shall be entitled to rely on the validity and authenticity of such instruction without undertaking any further inquiry as long as such instruction is undertaken in conformity with security procedures established by the Transfer Agent from time to time.

 

6. Indemnification

 

  6.1 The Transfer Agent shall not be responsible for, and the Fund shall on behalf of the applicable Portfolio indemnify and hold the Transfer Agent harmless from and against, any and all losses, damages, costs, charges, counsel fees, payments, expenses and liability arising out of or attributable to:

 

  (a) All actions of the Transfer Agent or its agents or subcontractors required to be taken pursuant to this Agreement, provided that such actions are taken without gross negligence or willful misconduct;

 

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  (b) The Fund’s breach of any representation, warranty or covenant of the Fund hereunder;

 

  (c) The reliance upon, and any subsequent use of or action taken or omitted, by the Transfer Agent, or its agents or subcontractors on: (i) any information, records, documents, data, stock certificates or services, which are received by the Transfer Agent or its agents or subcontractors by machine readable input, facsimile, CRT data entry, electronic instructions or other similar means authorized by the Fund, and which have been prepared, maintained or performed by the Fund or any other person or firm on behalf of the Fund, including but not limited to any broker-dealer, TPA or previous transfer agent; (ii) any instructions or requests of the Fund or any of its employees, agents or subcontractors; (iii) any instructions or opinions of legal counsel to the Fund or any Portfolio with respect to any matter arising in connection with the services to be performed by the Transfer Agent under this Agreement which are provided to the Transfer Agent after consultation with such legal counsel; or (iv) any paper or document, reasonably believed to be genuine, authentic, or signed by the proper person or persons;

 

  (d) The offer or sale of Shares in violation of any requirement under the federal securities laws or regulations or the securities laws or regulations of any state that such Shares be registered in such state or in violation of any stop order or other determination or ruling by any federal agency or any state with respect to the offer or sale of such Shares in such state;

 

  (e) The negotiation and processing of any checks including without limitation for deposit into the Fund’s demand deposit account maintained by the Transfer Agent; and

 

  (f) All actions relating to the transmission of Fund or Shareholder data through the NSCC clearing systems, if applicable.

 

  6.2 At any time the Transfer Agent may apply to any officer of the Fund for instructions, and may consult with legal counsel with respect to any matter arising in connection with the services to be performed by the Transfer Agent under this Agreement, and the Transfer Agent and its agents or subcontractors shall not be liable and shall be indemnified by the Fund on behalf of the applicable Portfolio for any action taken or omitted by it in reliance upon such instructions or upon the opinion of such counsel. The Transfer Agent, its agents and subcontractors shall be protected and indemnified

 

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in acting upon any paper or document furnished by or on behalf of the Fund, reasonably believed to be genuine and to have been signed by the proper person or persons, or upon any instruction, information, data, records or documents provided the Transfer Agent or its agents or subcontractors by machine readable input, telex, CRT data entry or other similar means authorized by the Fund, and shall not be held to have notice of any change of authority of any person, until receipt of written notice thereof from the Fund. The Transfer Agent, its agents and subcontractors shall also be protected and indemnified in recognizing stock certificates which are reasonably believed to bear the proper manual or facsimile signatures of the officers of the Fund, and the proper countersignature of any former transfer agent or former registrar, or of a co-transfer agent or co-registrar.

 

  6.3 In order that the indemnification provisions contained in this Section 6 shall apply, upon the assertion of a claim for which the Fund may be required to indemnify the Transfer Agent, the Transfer Agent shall notify the Fund of such assertion, and shall keep the Fund advised with respect to all material developments concerning such claim. The Fund shall have the option to participate with the Transfer Agent in the defense of such claim or to defend against said claim in its own name. The Transfer Agent shall in no case confess any claim or make any compromise in any case in which the Fund may be required to indemnify the Transfer Agent except with the Fund’s prior written consent which shall not be unreasonably withheld.

 

7. Standard of Care/ Limitation of Liability

 

The Transfer Agent shall at all times act in good faith in its performance of services under this Agreement, but assumes no responsibility and shall not be liable for loss or damage due to errors, including, but not limited to, encoding and payment processing errors, unless said errors are caused by its gross negligence or willful misconduct or that of its employees. The parties agree that any encoding or payment processing errors shall be governed by this standard of care and Section 4-209 of the Uniform Commercial Code is superseded by Section 7 of this Agreement. Notwithstanding the foregoing, the Transfer Agent’s aggregate liability during any term of this Agreement with respect to, arising from or arising in connection with this Agreement, or from all services provided or omitted to be provided by the Transfer Agent under this Agreement, whether in contract, or in tort, or otherwise, is limited to, and shall not exceed, the aggregate of the amounts actually received hereunder by the Transfer Agent as fees and charges, but not including reimbursable expenses, during the six (6) calendar months immediately preceding the event for which recovery from the Transfer Agent is being sought.

 

8. Additional Covenants of the Fund and the Transfer Agent

 

  8.1 The Fund shall on behalf of each of the Portfolios promptly furnish to the Transfer Agent the following:

 

  (a) A certified copy of the resolution of the Board of Trustees of the Fund authorizing the appointment of the Transfer Agent and the execution and delivery of this Agreement.

 

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  (b) A copy of the Declaration of Trust and By-Laws of the Fund and all amendments thereto.

 

  8.2 The Transfer Agent hereby agrees to establish and maintain facilities and procedures for safekeeping of stock certificates, check forms and facsimile signature imprinting devices, if any; and for the preparation or use, and for keeping account of, such certificates, forms and devices.

 

  8.3 The Transfer Agent shall keep records relating to the services to be performed hereunder, in the form and manner as it may deem advisable. To the extent required by Section 31 of the Investment Company Act of 1940, as amended, and the Rules thereunder, the Transfer Agent agrees that all such records prepared or maintained by the Transfer Agent relating to the services to be performed by the Transfer Agent hereunder are the property of the Fund and will be preserved, maintained and made available in accordance with such Section and Rules, and will be surrendered promptly to the Fund on and in accordance with its request.

 

  8.4 The Transfer Agent and the Fund agree that all books, records, information and data pertaining to the business of the other party which are exchanged or received pursuant to the negotiation or the carrying out of this Agreement shall remain confidential, and shall not be voluntarily disclosed to any other person, except as (i) may be required by law, (ii) is authorized by the Fund and the Transfer Agent, (iii) is publicly available without breach of this Agreement; or (iii) is already in the possession of the receiving party at the time of receipt without obligation of confidentiality or breach of this Agreement

 

  8.5 In case of any requests or demands for the inspection of the Shareholder records of the Fund, the Transfer Agent will endeavor to notify the Fund and to secure instructions from an authorized officer of the Fund as to such inspection. The Transfer Agent reserves the right, however, to exhibit the Shareholder records to any person whenever it is advised by its counsel that it may be held liable for the failure to exhibit the Shareholder records to such person.

 

9. Termination of Agreement

 

  9.1 This Agreement may be terminated by either party upon one hundred twenty (120) days written notice to the other.

 

  9.2 Bankruptcy. Either party hereto may terminate this Agreement by notice to the other party, immediately or effective at any time specified therein, in the event that (a) the other party ceases to carry on its business or (b) an action is commenced by or against the other party under Title 11 of the United States Code or a receiver, conservator or similar officer is appointed for the other party and such suit, conservatorship or receivership is not discharged within thirty (30) days.

 

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  9.3 All out-of-pocket expenses associated with the movement of records and material will be borne by the Fund on behalf of the applicable Portfolio(s). Additionally, the Transfer Agent reserves the right to charge for any other reasonable expenses associated with such termination and/or a charge equivalent to the average of three (3) months’ fees in the event the Fund terminates the Agreement under this Section 9.

 

10. Additional Funds

 

In the event that the Fund establishes one or more series of Shares in addition to the Portfolio identified in the recitals, with respect to which it desires to have the Transfer Agent render services as transfer agent under the terms hereof, it shall so notify the Transfer Agent in writing, and if the Transfer Agent agrees in writing to provide such services, such series of Shares shall become a Portfolio hereunder.

 

11. Assignment

 

  11.1 Except as provided in Section 11.3 below, neither this Agreement nor any rights or obligations hereunder may be assigned by either party without the written consent of the other party.

 

  11.2 This Agreement shall inure to the benefit of and be binding upon the parties and their respective permitted successors and assigns.

 

  11.3 The Transfer Agent may, without further consent on the part of the Fund, subcontract for the performance hereof with (i) Boston Financial Data Services, Inc., a Massachusetts corporation (“BFDS”) which is duly registered as a transfer agent pursuant to Section 17A(c)(2) of the Securities Exchange Act of 1934, as amended (“Section 17A(c)(2)”), (ii) a BFDS subsidiary duly registered as a transfer agent pursuant to Section 17A(c)(2) or (iii) a BFDS affiliate duly registered as a transfer agent; provided, however, that the Transfer Agent shall remain liable to the Fund for the acts and omissions of any subcontractor under this Section 11.3 as it is for its own acts and omissions under this Agreement.

 

12. Amendment

 

This Agreement may be amended or modified by a written agreement executed by both parties and authorized or approved by a resolution of the Board of Trustees of the Fund.

 

13. Massachusetts Law to Apply

 

This Agreement shall be construed and the provisions thereof interpreted under and in accordance with the laws of the Commonwealth of Massachusetts.

 

 

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14. Force Majeure

 

In the event either party is unable to perform its obligations under the terms of this Agreement because of acts of God, strikes, equipment or transmission failure or damage reasonably beyond its control, or other causes reasonably beyond its control, such party shall not be liable for damages to the other for any damages resulting from such failure to perform or otherwise from such causes.

 

15. Consequential Damages

 

Neither party to this Agreement shall be liable to the other party for consequential damages under any provision of this Agreement or for any consequential damages arising out of any act or failure to act hereunder.

 

16. Merger of Agreement

 

This Agreement constitutes the entire agreement between the parties hereto and supersedes any prior agreement with respect to the subject matter hereof whether oral or written.

 

17. Notice

 

Any notice, instruction or other instrument required to be given hereunder may be delivered in person to the offices of the parties as set forth herein during normal business hours or sent via prepaid registered mail to the parties at the following addresses or such other addresses as may be notified by any party from time to time. Such notice, instruction or other instrument shall be deemed to have been given at the earliest of (a) upon personal delivery, or (b) five business days following deposit in the United State Mail, registered mail, postage prepaid, return receipt requested.

 

(a) If to Transfer Agent, to:

 

State Street Bank and Trust Company

1776 Heritage Drive

No. Quincy, Massachusetts 02171

Attention: Kevin R. Powers, Vice President

 

(b) If to the Fund, to:

 

Metropolitan Series Fund II

501 Boylston Street

Boston, Massachusetts 02116

Attention: Peter Duffy, Vice President

 

 

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18. Counterparts

 

This Agreement may be executed by the parties hereto on any number of counterparts, and all of said counterparts taken together shall be deemed to constitute one and the same instrument.

 

19. Survival

 

All provisions regarding indemnification, warranty, liability, and limits thereon, and confidentiality and/or protections of proprietary rights and trade secrets shall survive the termination of this Agreement.

 

20. Severability

 

If any provision or provisions of this Agreement shall be held invalid, unlawful, or unenforceable, the validity, legality, and enforceability of the remaining provisions shall not in any way be affected or impaired.

 

21. Priorities Clause

 

In the event of any conflict, discrepancy or ambiguity between the terms and conditions contained in this Agreement and any schedules or attachments hereto, the terms and conditions contained in this Agreement shall take precedence.

 

22. Waiver

 

No waiver by either party or any breach or default of any of the covenants or conditions herein contained and performed by the other party shall be construed as a waiver of any succeeding breach of the same or of any other covenant or condition.

 

23. Reproduction of Documents

 

This Agreement and all schedules, exhibits, attachments and amendments hereto may be reproduced by any photographic, photostatic, microfilm, micro-card, miniature photographic or other similar process. The parties hereto all/each agree that any such reproduction shall be admissible in evidence as the original itself in any judicial or administrative proceeding, whether or not the original is in existence and whether or not such reproduction was made by a party in the regular course of business, and that any enlargement, facsimile or further reproduction of such reproduction shall likewise be admissible in evidence.

 

[Remainder of Page Intentionally Left Blank]

 

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IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed in their names and on their behalf by and through their duly authorized officers, as of the day and year first above written.

 

ATTEST:   METROPOLITAN SERIES FUND II

/s/ Thomas M. Lenz


  By:  

/s/ John F. Guthrie, Jr.


Thomas M. Lenz, Secretary       John F. Guthrie, Senior Vice President,
        Duly Authorized
ATTEST:   STATE STREET BANK AND TRUST COMPANY

/s/ Veronica Greenbaum


 

By:

 

/s/ Joseph L. Hooley


Veronica Greenbaum,       Joseph L. Hooley, Executive Vice President,
Vice President       Duly Authorized

 

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Schedule A

 

FUND SERVICE RESPONSIBILITIES*

 

    

Responsibility


Service Performed


  

Transfer

Agent


  

Fund


1.

   Receives orders for the purchase of Shares.    X     

2.

   Issue Shares and hold Shares in Shareholders accounts.    X     

3.

   Receive redemption requests.    X     

4.

   Effect transactions 1-3 above directly with broker-dealers.         X

5.

   Pay over monies to redeeming Shareholders.    X     

6.

   Effect transfers of Shares.    X     

7.

   Prepare and transmit dividends and distributions.    X     

8.

   Issue Replacement Certificates.    X     

9.

   Reporting of abandoned property.    X     

10.

   Maintain records of account.    X     

11.

   Maintain and keep a current and accurate control book for each issue of securities.    X     

12.

   Mail proxies.         X

13.

   Mail Shareholder reports.         X

14.

   Mail prospectuses to current Shareholders.         X

15.

   Withhold taxes on U.S. resident and non-resident alien accounts.    X     

16.

   Prepare and file U.S. Treasury Department forms.    X     

 

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     Responsibility

Service Performed


   Transfer
Agent


   Fund

17.

   Prepare and mail account and confirmation statements for Shareholders.    X     

18.

   Provide Shareholder account information.    X     

19.

   State transaction reporting.         X

* Such services are more fully described in Section 1.2 of the Agreement.

 

ATTEST:   METROPOLITAN SERIES FUND II

/s/ Thomas M. Lenz


  By:  

/s/ John F. Guthrie, Jr.


Thomas M. Lenz, Secretary       John F. Guthrie, Senior Vice President,
        Duly Authorized
ATTEST:   STATE STREET BANK AND TRUST COMPANY

/s/ Veronica Greenbaum


  By:  

/s/ Joseph L. Hooley


Veronica Greenbaum,       Joseph L. Hooley, Executive Vice President,
Vice President       Duly Authorized

 

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