EX-99.(H)(4)(VI) 10 d250442dex99h4vi.htm FIFTH AMENDMENT TO TRANSFER AGENCY INTERACTIVE CLIENT SERVICES AGREEMENT Fifth Amendment to Transfer Agency Interactive Client Services Agreement

Amendment No. 5 to Transfer Agency Interactive Client Services Agreement

This Amendment No. 5, dated as of December 8, 2011 (“Effective Date”), to the Transfer Agency Interactive Client Services Agreement (this “Amendment”), by and between AQR Funds, a Delaware statutory trust established under the laws of the State of Delaware (the “Fund”), and ALPS Fund Services, Inc., a Colorado corporation (the “ALPS”).

WHEREAS, the Fund and ALPS entered into a Transfer Agency Interactive Client Services Agreement, dated as of December 8, 2008, as amended and as in effect prior to giving effect to this Amendment (the “Agreement”); and

WHEREAS, the Fund and ALPS wish to amend the provisions of the Agreement.

NOW, THEREFORE, the parties hereby agree to amend the Agreement as follows:

1.        Upon the Effective Date, the parties agree to delete APPENDIX A – LIST OF PORTFOLIOS of the Agreement in its entirety and replace it with a new APPENDIX A – LIST OF PORTFOLIOS attached hereto and incorporated by reference herein.

2.        Upon the Effective Date, the parties agree to delete APPENDIX D – TA WEB/IVR FEE SCHEDULE of the Agreement in its entirety and replace it with a new APPENDIX D – TA WEB/IVR FEE SCHEDULE attached hereto and incorporated by reference herein.

3.        Except as specifically set forth herein, all other provisions of the Agreement shall remain in full force and effect. Any items not defined in this Amendment shall have the meanings ascribed to them in the Agreement.

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

 

AQR FUNDS     ALPS FUND SERVICES, INC.
By:   /s/ Nicole DonVito             By:   /s/ Jeremy O. May        
Name:   Nicole DonVito     Name:   Jeremy O. May
Title:   Vice President     Title:   President

APPENDIX A

LIST OF PORTFOLIOS

 

FUND    CLASSES OFFERED

AQR Momentum Fund

    Class L

AQR Small Cap Momentum Fund

    Class L

AQR International Momentum Fund

    Class L

AQR Global Equity Fund

   

Class N

Class I

Class Y

AQR International Equity Fund

   

Class N

Class I

Class Y

AQR International Small Cap Fund

   

Class N

Class I

Class Y

AQR Emerging Markets Fund

   

Class N

Class I

Class Y

AQR Equity Plus Fund

   

Class N

Class I

AQR Small Cap Core Fund

   

Class N

Class I

AQR Small Cap Growth Fund

   

Class N

Class I

AQR Diversified Arbitrage Fund

   

Class N

Class I

AQR Managed Futures Strategy Fund

   

Class N

Class I

AQR Risk Parity Fund

   

Class N

Class I

AQR Multi-Strategy Alternative Fund

   

Class N

AQR Tax-Managed Momentum Fund

   

Class I

Class L

AQR Tax-Managed Small Cap Momentum Fund

    Class L

AQR Tax-Managed International Momentum Fund

    Class L

APPENDIX D

TA WEB/IVR FEE SCHEDULE

 

TA Web              

Initial Fees

        
   Setup (for Basic or Basic Plus)1    None

Monthly Fees

        
   Basic      None
   Basic Plus2      None

Customization Fees3

        
   Functional   Current Hourly Rate    $150
   Graphical   Current Hourly Rate    $150

TA IVR

        

Initial Fees

        
  

Setup (for Inquiry Only or Transaction

Capability)

    None

Monthly Fees

        
   Inquiry Only      Included in TA Web fees
   Transaction Capability      Not applicable

Customization Fees4

        
   Call Flow Changes   Current Hourly Rate    $260

1  Basic and Basic Plus packages include simple user interface with the fund group logo at the top of each page. Authorized Shareholders are able to place purchases, redemptions and exchanges via the website. They are also entitled to view account balances, transaction history and historical fund prices.

2  Basic Plus includes the e-Delivery functionality.

3  Any graphical or functional modifications beyond what is offered in the basic package and after the initial customization of the Investment Company’s Web Site will be billed at an hourly rate based on the specifications given by the Trust.

4   Any modification that involves adding or modifying standard call flow features will be defined and built separately based on the then current hourly rate.

In addition to the fees set forth above, the Fund shall pay ALPS reasonable out-of-pocket expenses and advances associated with providing the services pursuant to this Agreement.