EX-99.(H)(2)(XIV) 4 d718901dex99h2xiv.htm THIRTEENTH AMENDMENT TRANSFER AGENCY AND SERVICE AGREEMENT Thirteenth Amendment Transfer Agency and Service Agreement

Amendment No. 13 to Transfer Agency and Service Agreement

This Amendment No. 13, dated as of May 29, 2014 (the “Effective Date”), to the Transfer Agency and Service Agreement (this “Amendment”), by and between AQR Funds, a Delaware statutory trust established under the laws of the State of Delaware, having its principal place of business at Two Greenwich Plaza, 3rd Floor, Greenwich, Connecticut 06830 (the “Trust”), and ALPS Fund Services, Inc., a Colorado corporation, having its principal place of business at 1290 Broadway, Suite 1100, Denver, Colorado 80203 (the “Transfer Agent”).

WHEREAS, the Trust and the Transfer Agent entered into a Transfer Agency and Service 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 Trust and the Transfer Agent wish to amend the provisions of the Agreement to reflect the addition of a new class for certain existing Portfolios and the renaming of an existing class for certain existing Portfolios, under Schedule 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 SCHEDULE A – FUND LIST of the Agreement in its entirety and replace it with a new SCHEDULE A – FUND LIST 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: Chief Legal Officer & Vice President     Title: President

SCHEDULE A

FUND LIST

 

FUND

   

CLASSES OFFERED

AQR Momentum Fund

   

Class L

Class N

Class R6

AQR Small Cap Momentum Fund

   

Class L

Class N

Class R6

AQR International Momentum Fund

   

Class L

Class N

Class R6

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

Class R6

AQR Managed Futures Strategy Fund

   

Class N

Class I

Class R6

AQR Risk Parity Fund

   

Class N

Class I

Class R6

AQR Multi-Strategy Alternative Fund

   

Class N

Class I

Class R6

AQR Tax-Managed Momentum Fund

   

Class L

Class N

Class R6

AQR Tax-Managed Small Cap Momentum Fund

   

Class L

Class N

Class R6

AQR Tax-Managed International Momentum Fund

   

Class L

Class N

Class R6

AQR U.S. Defensive Equity Fund

   

Class N

Class I

Class R6

AQR International Defensive Equity Fund

   

Class N

Class I

Class R6

AQR Emerging Defensive Equity Fund

   

Class N

Class I

Class R6

AQR Risk-Balanced Commodities Strategy Fund

   

Class N

Class I

Class R6

AQR Risk-Balanced Commodities Strategy LV Fund

   

Class N

Class I

AQR Risk Parity II MV Fund

   

Class N

Class I

Class Y

Class R6

AQR Risk Parity II HV Fund

   

Class N

Class I

Class Y

Class R6

AQR Core Equity Fund

   

Class N

Class L

Class R6

AQR Small Cap Core Equity Fund

   

Class N

Class L

Class R6

AQR International Core Equity Fund

   

Class N

Class L

Class R6

AQR Long-Short Equity Fund

   

Class N

Class I

Class R6

AQR Managed Futures Strategy HV Fund

   

Class N

Class I

Class R6

AQR Style Premia Alternative Fund

   

Class N

Class I

Class R6

AQR Global Macro Fund

   

Class N

Class I

Class R6

AQR Emerging Core Equity Fund

   

Class L

Class N

Class R6

AQR Emerging Momentum Fund

   

Class L

Class N

Class R6