EX-99.(H)(4)(XIII) 10 d649447dex99h4xiii.htm TWELFTH AMENDMENT TO TRANSFER AGENCY INTERACTIVE CLIENT SERVICES AGREEMENT Twelfth Amendment to Transfer Agency Interactive Client Services Agreement

Exhibit (h)(4)(xiii)

Amendment No. 12 to Transfer Agency Interactive Client Services Agreement

This Amendment No. 12 dated as of February 21, 2014 (the “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 (“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 to reflect the addition of three new Portfolios and up to three classes of each new Portfolio, as well as a new class for certain existing Portfolios, under Appendix A of the Agreement.

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

1. Upon the Effective Date, the parties hereto agree to delete the current 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. 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.

IN WITNESS WHEREOF, the parties have executed this Amendment as of the Effective Date.

 

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

Class N

Class Z

AQR Small Cap Momentum Fund   

Class L

Class N

Class Z

AQR International Momentum Fund   

Class L

Class N

Class Z

AQR Global Equity Fund   

Class N

Class I

Class Y

Class R6

AQR International Equity Fund   

Class N

Class I

Class Y

Class R6

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

Class I

AQR Tax-Managed Momentum Fund   

Class L

Class N

Class Z

AQR Tax-Managed Small Cap Momentum Fund   

Class L

Class N

Class Z

AQR Tax-Managed International Momentum Fund   

Class L

Class N

Class Z

AQR U.S. Defensive Equity Fund   

Class N

Class I

AQR International Defensive Equity Fund   

Class N

Class I

AQR Emerging Defensive Equity Fund   

Class N

Class I

AQR Risk-Balanced Commodities Strategy Fund   

Class N

Class I

AQR Risk-Balanced Commodities Strategy LV Fund   

Class N

Class I

AQR Risk Parity II MV Fund   

Class N

Class I

Class Y

AQR Risk Parity II HV Fund   

Class N

Class I

Class Y

AQR Core Equity Fund   

Class N

Class L

Class Z


AQR Small Cap Core Equity Fund   

Class N

Class L

Class Z

AQR International Core Equity Fund   

Class N

Class L

Class Z

AQR Long-Short Equity Fund   

Class N

Class I

AQR Managed Futures Strategy HV Fund   

Class N

Class I

AQR Style Premia Alternative Fund   

Class N

Class I

AQR Global Macro Fund   

Class N

Class I

AQR Emerging Core Equity Fund   

Class L

Class N

Class Z

AQR Emerging Momentum Fund   

Class L

Class N

Class Z